Compliance Professionals
Head of Compliance – Commodities/Energy trading experience required
London
Posted 11 days ago
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Commodities Firm – Compliance, Risk & Team Liaison
The Company
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 and monitoring policies/protocols associated with:
- Algorithmic trading
- New markets
- Surveillance & market monitoring (e.g., trading chat sampling, alert reviews)
- Liaising with exchanges (handling queries, investigations, regulatory filings)
- Cross-team collaboration with trading, risk, and operations
- Regulator Liaison:
- Proven experience handling direct inquiries from exchanges
- Full Trade Lifecycle Understanding:
- From execution to clearing and settlement
- Identifying compliance breaches典型 occurrence points
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Experience Required
- Onsite work (5 days/week)
- Strong financial and energy trading experience
- Technical understanding of algorithms (with RTS-6 compliance focus)
- Thorough knowledge of exchange-traded derivatives markets
- Including:
- Operations of ICE, CME, and LME
- Specific exchange rulebooks, position limits, and reporting requirements
- Including:
- Knowledge of cash-settled contracts and associated compliance risks
- **Full Trade Lifecycle Awareness
- From execution to clearing to settlement
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Skills
Compliance
Regulatory Safety
Policy Administration
Surveillance
Monitoring
Investigations
Cross Team Collaboration
Regulator Liaison
Trade Life Cycle
Algorithmic Trading
Energy Trading
Exchange Traded Derivatives
Position Limits
Cash Settled Contracts
Market Surveillance
Financial Trading
Location