Compliance Advisor, Energy Trading
Global Energy Commodities Trading Firm.
Reporting to the Head of Compliance, they now seek an energy commodity trading compliance professional with in-depth compliance experience (particularly from an unauthorised firm/business perspective) to develop implement compliance frameworks for regulatory compliance risk worldwide. You should have good energy market experience and enjoy operating within a Front Office trading environment.
KEY RESPONSIBILITIES:
- Provide Compliance advice and guidance on transactions, new products business initiatives
- Develop best practice policies in key areas of compliance (AML, ABC, Market Conduct etc.)
- Monitor regulatory developments across all jurisdictions
- Work closely with Front Office colleagues to maintain awareness of compliance issues
- Implement processes to deliver operational regulatory compliance
- Undertaking risk-based compliance monitoring for: OTC Exchange traded, suspicious transactions, exchange rules, AML Anti-Bribery monitoring, etc.
- Develop anti-bribery framework to meet requirements of the UK Bribery Act.
- Conducting a Group-wide Compliance Risk Assessment; conduct training on compliance policies; undertake themed reviews
- Act as advocate for Compliance with key stakeholders
KEY SKILLS EXPERIENCE:
- In-depth operational experience of energy commodity trading compliance
- Developing compliance policies
- Assessing transactions new products for compliance risk
- Auditing monitoring trading activities and implementing monitoring (preferably from an unauthorised firm/business perspective)
- Good understanding of international wholesale energy markets and EU energy market developments.
- Knowledge of OTC and Exchange trading, UK EU financial services legislation, including AML, ABC, Market Conduct, as well as the FCA Handbook
- Knowledge of MiFID, MAD, EMIR, Dodd Frank, REMIT and practical implications thereof
DESIRABLE ATTRIBUTES:
- Strong analytical skills
- Excellent interpersonal and communication skills, diplomatic and professional
- Able to build strong working relationships with Front, Mid Back Office teams
- Able to cope with rapid business growth and a pressurised environment
- Graduate
- Compliance qualifications an advantage but not essential
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