The role of the Regulatory Compliance function 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 market abuse
Assist in the development of the trade surveillance program
Preparation and submission of regulatory reports resulting from national licensing requirements in connection with physical commodity trading business
Support in the monitoring and assessment of new regulatory requirements impacting a commodity trading business
Initiate and coordinate risk assessments on controls and procedures
Make recommendations to enhance the control framework and lead the action plans resulting from control and risk assessment outcomes
Assist with reviewing and updating policies and procedures
Provide regulatory advice and support
Prepare management information and reports
Assist in compliance training and promoting a culture of compliance
Skills & Competencies
Knowledge of MAR requirements and trade surveillance techniques
Understanding of UK and EU regulations applicable to physical and financial commodity derivative markets (eg REMIT, MiFID II, EMIR)
Knowledge of UK and EU power, gas and carbon markets and exchange rules
Ability to understand legal documentation and identify the practical implications impacting an energy trading company
Strong analytical skills
Stakeholder management; ability to work closely with multiple internal stakeholders, ability to build strong cooperative relationships at all levels
Initiative and commitment to excellence – actively and enthusiastically attempt to influence, seek opportunities to originate action, encourage and develop new ideas.
Diligent and reliable with strong execution skills.
Fluent in English (written and spoken)
Experience in using third party or in-house trade surveillance software
Experience in a legal and/or regulatory compliance function in an energy trading organization with good understanding of the risk environment
Experience analysing complex regulation
Experience of working in projects with multiple stakeholders
Experience in implementing new processes and controls
Job Title: Compliance Trade Surveillance
Location: London, UK
Rate/Salary: .00 GBP Yearly
Job Type: Permanent
Trading as Aston Carter. Allegis Group Limited, Maxis 2, Western Road, Bracknell, RG12 1RT, United Kingdom. No. . Allegis Group Limited operates as an Employment Business and Employment Agency as set out in the Conduct of Employment Agencies and Employment Businesses Regulations 2003. Aston Carter is a company within the Allegis Group network of companies (collectively referred to as “Allegis Group”). Aerotek, Aston Carter, EASi, Talentis Solutions, TEKsystems, Stamford Consultants and The Stamford Group are Allegis Group brands. If you apply, your personal data will be processed as described in the Allegis Group Online Privacy Notice available on our website.
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