Head of Compliance – Commodities/Energy trading experience required

Compliance Professionals; Greater London; On-site; GBP 60,000 - 80,000; Full time

Job summary

Compliance Professionals is seeking a compliance specialist for a commodities trading environment. The role involves advising management and trading desks, implementing policies, and performing surveillance across the trade lifecycle in a fast-paced market.

You will liaise with exchanges, support regulatory requirements, and train staff on dealing, gifts and entertainment policies. This onsite position requires deep knowledge of derivatives markets and RTS-6 regulations.

Qualifications

• Onsite 5 days a week
• Strong financial trading energy experience
• Understanding of algorithms RTS-6
• Thorough knowledge of exchange traded derivatives markets
• Knowledge of ICE, CME and LME rules and reporting
• Understanding of cash-settled contracts and associated compliance risks
• Clear understanding of full trade lifecycle from execution to settlement

Responsibilities

• Act as adviser to management and trading desks balancing commercial needs with regulatory safety
• Training and policy administration (dealing, gifts, entertainment)
• Implementing policies related to trading activities and monitoring compliance
• Surveillance, monitoring and investigations including trader chats and alerts reviews
• Liaising with exchanges and handling queries
• Cross-team collaboration with trading, risk and ops
• Implementing policies for new markets and monitoring ongoing compliance
• Working with Middle Office to implement new regulatory requirements
• Regulator liaison: handling direct inquiries from exchanges
• Understanding full trade lifecycle from execution to clearing and settlement to identify breaches

Skills

Trading compliance

RTS-6 knowledge

Derivatives markets

Regulatory liaison

Policy implementation

Job description

Our client is an innovative Commodities firm, operating across global commodity and energy markets.

THE RESPONSIBILITIES:

• Acting as an advisor to the management team and trading desks, balancing commercial needs with regulatory safety
• Training and policy administration (personal dealing, gifts and entertainment etc)
• Implementing policies and protocols associated with business activities, such as in relation to algorithmic trading, new markets etc (and monitoring ongoing compliance with them)
• Surveillance, monitoring and investigations including sampling trader chats and reviewing alerts and trades from a market surveillance perspective
• Liaising with exchanges and dealing with queries from them
• Cross team collaboration with trading, risk and ops
• Implementing policies and protocols associated with business activities, such as in relation to algorithmic trading, new markets etc (and monitoring ongoing compliance with them)
• Working with Middle Office and the broader team to implement any new regulatory requirements
• Regulator Liaison: Proven experience handling direct inquiries from exchange
• Trade Life Cycle: A clear understanding of the full lifecycle—from execution to clearing and settlement—to identify where compliance breaches typically occur

EXPERIENCE REQUIRED:

• Must be able to work onsite 5 days a week
• Strong financial trading energy experience
• Understanding of algorithms specifically RTS-6
• Thorough knowledge of the exchange traded derivatives markets
• Knowledge of how ICE, CME and LME operate, including their specific exchange rulebooks, position limits, and reporting requirements
• Knowledge of cash-settled contracts and the specific compliance risks associated with these contracts
• A clear understanding of the full trade lifecycle- from execution to clearing and settlement - to identify where compliance breaches typically occur

For further information please contact Hannah Tabatabai