24 Oct
Richard James Recruitment Specialists
London
Our client is an Integrated Energy trading company based in Central London.
Working as part of the Legal Affairs department, and reporting to the Head of Compliance & MLRO, the successful candidate with be an experienced Compliance professional, whose experience will include Monitoring. The successful candidate will ideally have a good understanding of Physical trading, exchange trading and OTC market’s; ideally within the Energy/Commodity trading sector.
RESPONSIBILITIES WILL INCLUDE BUT WILL NOT BE LIMITED TO:
- Assist the Head of Compliance & MLRO in developing the company’s compliance program.
- Reviewing trading activities and related support functions, identifying, and mitigating regulatory compliance risk,
implementing systems of work, processes, and procedures to deliver effective compliance.
- Assist the Compliance Manager with the development and delivery of staff training and assurance activities.
- Undertaking compliance investigations and other compliance projects, providing expert advice and technical assistance as may be required.
- Maintaining awareness of financial regulatory developments, providing advice on all areas including EMIR, MiFID, MAR, REMIT, Sanctions, and exchange rules across the company.
- Be responsible for the ongoing improvements and undertaking of communications and trade monitoring, whilst considering the commodities we trade against themes including market abuse, anti-money laundering, antitrust, regulatory and exchange obligations.
- Maintain effective reporting and record keeping routines, ensuring that recommendations are acted upon and implemented.
QUALIFICATION REQUIREMENTS:
An experienced compliance professional with demonstrable expertise:
- Compliance qualification an advantage.
- 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 within energy trading.
- A good 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, MAR, EMIR, and REMIT.
- A minimum of 5 years compliance experience, including monitoring.
- Experience in commodities; physical oil trading, preferred.
- Regulatory reporting experience an advantage.
- Strong analytical skills with attention to detail.
- Project management skills with proven track record of delivery.
- Excellent interpersonal and communication skills (verbal and written).
- Able to work under pressure to tight deadlines.
- Willing to take ownership and problem solve.
- Pro-active, self-motivated team player that builds strong relationships.
- Diplomatic and professional, able to deal with sensitive issues.
- Able to cope with rapid business growth in a pressurised environment.
▶️ Compliance Specialist
🖊️ Richard James Recruitment Specialists
📍 London