Compliance Specialist needed at Commodity Trader

£80000 - £100000 per annum
17 Jan 2013
14 Feb 2013
Michael Richards
Contract Type
Full Time

A leading Commodity Trader with a worldwide presence and high recognition is looking to hire an experienced Compliance Advisor to take an advisory role to identify, assess, monitor and manage compliance risks and requirements applicable to the business.

This is an excellent role for an experienced compliance professional with experience of investment banking and trade floor advisory experience.

Your responsibilities will include:

Working closely with front office Sales and Trading; you will be expected to offer a broad range of product and service advisory within treasury (FX and fixed income), corporate finance and derivatives.


* Advising and monitoring relevant FSA rules in relation to financial promotions, inside information, insider lists, listing rules, conflicts of interests
* Advising business on marketing financial products into new jurisdictions and furthermore monitoring whether the advice/ conditions have been followed;
* Advising business on ABC and AML when entering into jurisdictions with low TI scores and adding that to the AML monitoring programme;
* Monitor developments and review new regulatory requirements and proposals and assist with implementations of changes into respective Business Unit

* Monitoring activity on exchanges to ensure alignment with Exchange rules and expectations;
* Undertake other reviews such as control room, conflicts of interest, post-implementation reviews, desk reviews and bench profiles etc as required.

* Keep abreast of regulatory developments and good practice, and share information as appropriate to enhance the quality of the compliance programme

Key Skills/Experience Required:

  • Exposure and knowledge of the regulatory change (European Directives)
  • Previous experience in trade floor advisory
  • Previous experience in a compliance role supporting commodity trading is advantageous
  • Knowledge of treasury products (FX/fixed income/money markets) essential
  • Knowledge of derivatives and commodities is preferred
  • Emerging markets experience is essential

Salary: £80 - £100k

Location:Canary Wharf

If you are an experienced compliance professional with a good understanding of treasury and/or commodity products, and wish to work for one of the top commodity trading firms globally; please send your CV to me for consideration.

To find out more about Real please visit

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