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.

RESPONSIBILITIES WILL INCLUDE BUT WILL NOT BE LIMITED TO:

  • 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.

QUALIFICATION REQUIREMENTS:

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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