Senior Compliance Specialist

Based: London
Salary: Competitive

Our client is an Integrated Energy trading company based in Central London.

Working as part of the Legal team, and reporting to the Compliance manager, you will have a minimum of 5 years Compliance experience which should include Monitoring. The successful candidate will have a good understanding of Physical trading, exchange trading and OTC market’s ideally.

You will enjoy acting as Deputy to the Compliance Manager which will include staff training and assurance activities.


  • Be responsible for undertaking daily monitoring of communication while considering levels of activity in the commodities we trade against themes including market abuse, anti-money laundering, antitrust, regulatory and exchange obligations plus ensuring staff adherence to Company policies and procedures.
  • Reviewing trading activities and related support functions, identifying, and mitigating regulatory compliance risk, implementing systems of work, processes, and procedures to deliver effective compliance.
  • Act as deputy to the Compliance Manager providing assistance and cover as required
  • Assist the Compliance Manager with regular staff training and assurance activities
  • Undertaking compliance investigations and other compliance projects, providing expert advice and technical assistance as may be required.
  • Maintain effective reporting and record keeping routines, ensuring that recommendations are acted upon and implemented.
  • Maintaining awareness of financial regulatory developments, providing advice on all areas including EMIR, MiFID, REMIT, Sanctions, Exchange rules etc.


An experienced compliance professional with demonstrable expertise:

  • Experience of compliance monitoring, assessing compliance risk, developing monitoring routines and implementing compliance processes.
  • Experience of appraising trading activities and support functions within a trading environment, preferably with energy trading experience.
  • A good knowledge of physical trading, exchange trading and OTC market’s preferably with energy trading experience.
  • An understanding of financial services regulation including UK and US regulators, Anti Bribery Act and AML legislation.
  • An awareness of European regulatory developments i.e. MiFID, MAD, EMIR and REMIT.
  • Extensive and proven compliance experience including monitoring
  • Trading experience an advantage but not essential
  • Know your Customer / Due Diligence experience helpful

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