Compliance Manager

Group 29



Stroke 1

Role Type


Group 7


London, UK

Our client is a global energy & commodity trading group; recognized as one of the most exciting and commercially driven Commodity Trading houses in the industry!

Our client is looking for a Compliance Manager who will focus on the EMEA regulatory reporting obligations of the trading business in EMEA. This role is accountable for advising the business on Compliance reporting issues and facilitation of the EMEA business remaining in compliance with applicable laws and regulations.

This role will need to work closely with front office, operations, accounting, legal and risk and will require balancing independence with the need to foster commercial partnerships. You will be the key contact point for all regulatory reporting issues, and development work.


  • Advise on and monitor the regulatory reporting obligations in relation to gas and power markets across EMEA.
  • Assess, evaluate, and report on regulatory reporting obligations for the various EMEA Exchanges the business is active on.
  • Support the operations team with the implementation of reporting solutions both from an advisory and technical perspective.
  • Assist with the development and monitoring of Surveillance systems within the company.
  • Monitoring and analysing documentation and reports.
  • Review requests for information from regulators, collect responsive information and documentation and prepare applicable responses.
  • Documentation preparation on compliance and regulatory reporting related requests for the team.
  • Proactively identify trends in recurring compliance violations and inquiries and collaborate with other team members to improve compliance procedures and processes, education materials and forms.
  • Ensure appropriate reports are provided to the EMEA Head of Compliance.
  • Analyse business processes and identify compliance and efficiency improvements.
  • Analysing and reporting on internal quality measures for management review.
  • Acting as an internal point of contact for internal stakeholders, assisting with compliance related queries.


  • Educated to University degree level (Or Equivalent).
  • Candidate should have 3+ years of related Commodity related experience (trading, risk management, compliance, other), with 2-5+ years of Commodity Compliance experience preferred.
  • Exposure to Gas, Power, Metals Environmental, and Petroleum physical and financial markets preferred, with demonstrated expertise in two or more commodities preferred.
  • Knowledge of REMIT, EMIR, FinFrag and MiFID.
  • Demonstrated ability to collaborate across different functions within an organization and to build strategic partnerships both internally and externally.
  • Experience working with and implementation of trade surveillance programs or systems with the ability to evaluate and access data and reporting for case evaluation and process refinement/enhancement.
  • Ability to work as part of an international Compliance team to constantly evaluate develop and improve company Compliance Program, including policies, procedures, and training.
  • Specific Experience working with physical energy regulators, financial regulatory authorities, TSO’s and EU commodity exchanges. 
  • Sufficient familiarity or experience with Exchange Market Regulations and Rules as to be able to facilitate surveillance analytics and reporting.
  • Ability to work independently and think entrepreneurially, to maximize value, seek independent assignment, and perpetually enhance function.
  • Excellent interpersonal skills and situational awareness, ability to prioritize a wide range of tasks with the situational awareness to ask for guidance when needed, meet deadlines, and complete functional assignments.
  • Ability to deploy a variety of communication styles according to the situation and communicate effectively with stakeholders and peers.


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