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Compliance Trade Surveillance

Aston Carter
Closing date
31 Jan 2022

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Technology & New Media
Contract Type
Full Time
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Role Objectives

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 (e.g. REMIT, MiFID II, EMIR)

• Knowledge of UK and EU power, gas and carbon markets and exchange rules

• Risk management

• 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: (phone number removed) - (phone number removed) GBP Yearly

Job Type: Permanent

Trading as Aston Carter. Allegis Group Limited, Maxis 2, Western Road, Bracknell, RG12 1RT, United Kingdom. No. (phone number removed). 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 at https://(url removed)/en-gb/privacy-notices.

To access our Online Privacy Notice, which explains what information we may collect, use, share, and store about you, and describes your rights and choices about this, please go to https://(url removed)/en-gb/privacy-notices.

We are part of a global network of companies and as a result, the personal data you provide will be shared within Allegis Group and transferred and processed outside the UK, Switzerland and European Economic Area subject to the protections described in the Allegis Group Online Privacy Notice. We store personal data in the UK, EEA, Switzerland and the USA. If you would like to exercise your privacy rights, please visit the "Contacting Us" section of our Online Privacy Notice at https://(url removed)/en-gb/privacy-notices for details on how to contact us. To protect your privacy and security, we may take steps to verify your identity, such as a password and user ID if there is an account associated with your request, or identifying information such as your address or date of birth, before proceeding with your request. If you are resident in the UK, EEA or Switzerland, we will process any access request you make in accordance with our commitments under the UK Data Protection Act, EU-U.S. Privacy Shield or the Swiss-U.S. Privacy Shield
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