Senior Compliance Specialist

Group 29



Stroke 1

Role Type


Group 7


London, UK

Our client is an Integrated Energy trading company based in Central London.

Working as part of the Lega Affairs department, and reporting to the Compliance Manager, the successful candidate with be a Senior Compliance professional, whose experience will include Monitoring. The successful candidate will have a good understanding of Physical trading, exchange trading and OTC market’s; ideally within the Energy/Commodity trading sector.  

You will enjoy acting as Deputy to the Compliance Manager which will include staff training and assurance activities.


  • Assist the Compliance Manager in developing the company’s compliance program.
  • Act as deputy to the Compliance Manager, providing assistance and coverage as required.
  • 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.


An experienced compliance professional with demonstrable expertise:

  • 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 with energy trading experience.
  • An 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, MAD, EMIR, and REMIT.
  • Extensive and proven compliance experience including monitoring.
  • Trading experience an advantage but not essential.
  • Know your Customer / Due Diligence experience helpful.


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