Head of Compliance – Office-based role

Our client is an innovative broker/tech firm, operating across global commodity markets.

Responsibilities

• Act as advisor to the management team and trading desks, balancing commercial needs with regulatory safety
• Train and administer policies (personal dealing, gifts and entertainment, etc.)
• Implement policies and protocols associated with business activities (e.g., algorithmic trading, new markets) and monitor ongoing compliance
• Conduct surveillance, monitoring, and investigations including sampling trader chats and reviewing alerts and trades from a market surveillance perspective
• Liaise with exchanges and handle queries from them
• Collaborate cross‑team with trading, risk and ops
• Work with Middle Office and the broader team to implement new regulatory requirements

Experience Required

• Must be able to work onsite 5 days a week
• Understanding of algorithms specifically RTS-6
• Thorough knowledge of the exchange‑traded derivatives markets
• Knowledge of how ICE, CME and LME operate, including their specific exchange rulebooks, position limits, and reporting requirements
• Knowledge of cash‑settled contracts and the specific compliance risks associated with them
• Clear understanding of the full trade lifecycle – from execution to clearing and settlement – to identify where compliance breaches typically occur

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