Trade Surveillance Analyst

Group 29



Stroke 1

Role Type


Group 7


London, UK

Working within a global Energy Trading business the role focuses on performing trade surveillance, overseeing algorithmic trading governance requirements and compliance relating to market access.  The role forms part of the Regulatory Compliance function whose mandate is to define and maintain the framework, policies, procedures, and controls to manage regulatory risks and obligations effectively and efficiently and implement new regulatory requirements related to the trading activity.

Duties & Responsibilities

  • Perform trade surveillance to identify potential non-compliant activity
  • Assist in the development of the trade surveillance program to maintain effective arrangements, systems and procedures to detect and report suspicious orders and transactions
  • Support in the monitoring and assessment of new regulatory requirements impacting a commodity trading business
  • Assist in maintaining the governance arrangements relating to trading algorithms
  • Preparation and submission of regulatory reports resulting from national licensing requirements in connection with the physical commodity trading business
  • Initiate and coordinate risk assessments on controls and procedures
  • Make recommendations to enhance the control framework
  • Lead action plans resulting from control and risk assessment outcomes
  • Assist with reviewing and updating policies and procedures
  • Provide regulatory advice and support across departments
  • Prepare management information and reports
  • Assist in compliance training and promoting a culture of compliance

Skills & Competencies

  • Risk management
  • Ability to interpret regulation and identify the practical implications impacting an energy trading company
  • Strong analytical skills
  • Stakeholder management; ability to work closely with multiple internal stakeholders and build strong cooperative relationships at all levels
  • Initiative and commitment to excellence; active and enthusiastic to influence and seek opportunities to drive improvement, encourage and develop new ideas.
  • Diligent and reliable with strong execution skills.
  • Fluent in English (written and spoken)
  • Knowledge of wholesale energy markets and related trading activities
  • Knowledge of MAR requirements and trade surveillance techniques
  • Understanding of regulations applicable to physical and financial commodity derivative markets (e.g. REMIT, MiFID II, EMIR)
  • Knowledge of commodity trading venue rules


  • Experience in using third party or in-house trade surveillance software


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