Compliance & Surveillance Officer, Commodities & Energy

Compliance Professionals; Greater London; On-site; GBP 70,000 - 100,000; Full time

Job summary

Compliance Professionals seeks an experienced compliance professional for a commodities trading environment in London. The role focuses on reviewing surveillance alerts, advising traders, and ensuring regulatory adherence across UK/EU rules, with emphasis on MAR, MiFID II/MiFIR, EMIR and REMIT.

Responsibilities include incident investigation, handling exchange inquiries, and maintaining documented evidence and timely responses.

Qualifications

• Experience with UK/EU commodity trading rules (MAR, MiFID II/MiFIR, EMIR, REMIT) and exchange rulebooks.
• Hands-on trade surveillance: review alerts, document decisions, escalate as needed.
• Ability to advise traders during trading hours with practical guidance and conditions.

Responsibilities

• Review trade surveillance alerts daily with documented reasons or escalation.
• Answer exchange inquiries and advise traders directly.
• Provide practical guidance during trading hours on actions, restrictions, and escalation needs.
• Investigate market abuse and keep evidence and reasons for each finding.
• Respond to exchange and regulatory inquiries with clear, evidentiary explanations ahead of deadlines.
• Monitor reviews, inquiries, regulatory requests and ensure ownership and timely completion.
• Review and update trading-related policies and procedures to reflect actual trading and applicable rules.
• Tune surveillance alerts to match desk trading patterns and close gaps.

Skills

Regulatory knowledge

Trade surveillance

Advising traders

Risk assessment

Job description

Compliance Professionals seeks an experienced compliance professional for a commodities trading environment in London. The role focuses on reviewing surveillance alerts, advising traders, and ensuring regulatory adherence across UK/EU rules, with emphasis on MAR, MiFID II/MiFIR, EMIR and REMIT.

Responsibilities include incident investigation, handling exchange inquiries, and maintaining documented evidence and timely responses.