Compliance Consultant (Generalist, Advisory and Surveillance) (6 month FTC)

THE COMPANY:

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

THE RESPONSIBILITIES:

• Undertake trade and communications surveillance, reviewing alerts and escalating potential issues where appropriate.
• Assist with the identification, investigation and resolution of potential market conduct and market abuse concerns.
• Provide compliance input in relation to commodity derivatives trading activities, exchange requirements, and relevant regulatory obligations.
• Support the firm’s compliance monitoring programme, including reviews, testing, and documentation of findings.
• Provide day-to-day compliance advisory support to the business, including Front Office and other trading-related functions.
• Support the team in the delivery and ongoing development of the firm’s compliance framework.
• Review and maintain compliance policies, procedures, registers, and associated documentation.
• Support internal investigations, regulatory enquiries, audits, and compliance reviews.
• Assist with compliance training and the communication of regulatory requirements across the business.
• Undertake additional compliance activities as required within a small and dynamic team.

EXPERIENCE REQUIRED:

• Must have a good understanding of financial markets and derivatives products, specifically Energy and Commodity derivative ideally
• Relevant experience within Compliance Advisory, Surveillance, or a related financial markets function in a trading environment.
• Previous experience in energy or commodity derivatives, particularly within a physical or exchange-traded commodities environment.
• Working knowledge of relevant UK financial markets regulation, including MAR, MiFID II/MiFIR and EMIR.
• A strong understanding of market conduct, market abuse, and trading-related compliance risks.
• Experience interacting with Front Office or other trading-related stakeholders.
• The ability to interpret regulatory / exchange requirements and apply them within a commercial environment.
• Comfortable working in a fast-paced, hands-on environment with a broad and varied workload.

#J-18808-Ljbffr

Full job description from WhatJobs. Apply for this role →