Compliance Specialist

About the Role

We are seeking an experienced and detail-oriented Trade Surveillance Manager to join our dynamic Compliance team. This is a leadership role responsible for overseeing the surveillance of our client’s commodity derivatives trading activities to detect and prevent market abuse.

The ideal candidate will be a hands-on expert with deep knowledge of commodity markets and proven experience using sophisticated surveillance tools. In addition to primary surveillance duties, you will manage a dedicated team responsible for position limit monitoring and regulatory reporting, ensuring our client operates with the highest standards of integrity and compliance.

Key Responsibilities:

• Trade Surveillance:

• Lead and perform hands-on, real-time and post-trade surveillance of commodity derivative trades (futures, options, swaps) to identify potential market abuse, manipulative trading patterns, or policy breaches.
• Utilize and configure our trade surveillance system (e.g., NASDAQ SMARTS, NICE Actimize, or similar platforms) to ensure effective alert generation and pattern recognition.
• Conduct in-depth investigations into surveillance alerts, document findings meticulously, and escalate credible cases to senior management and legal departments.
• Develop and refine surveillance scenarios and parameters to adapt to new trading strategies, products, and evolving market regulations.

• Team Leadership & Management:

• Lead, mentor, and manage a small team of compliance professionals, fostering a culture of excellence, accuracy, and continuous improvement.
• Oversee the team's daily activities, including the monitoring of exchange and regulatory position limits across various jurisdictions.
• Manage team performance, conduct regular reviews, and support the professional development of your team members.

• Regulatory Compliance & Reporting:

• Ensure the timely and accurate submission of transaction and position reports to relevant regulatory bodies under regimes such as

  EMIR, MAS, MiFID, and/or CFTC

  .
• Serve as the subject matter expert on market conduct rules and regulations applicable to the commodities sector.
• Liaise with auditors on surveillance and reporting matters.

• Stakeholder Collaboration:

• Collaborate closely with the Front Office, Technology, Risk, and Operations teams to understand trading strategies and resolve compliance issues.
• Assist in developing compliance training to traders and other relevant staff on market conduct and internal policies.

Qualifications & Experience:

• Experience:

  A minimum of 7 years of relevant experience in trade surveillance, compliance, or a related market risk function within a financial institution, commodity trading house, or exchange.

• Domain Knowledge:

  Strong and comprehensive understanding of commodity derivatives markets, trading strategies, and associated market abuse regulations (e.g., MAR).

• Technical Skills:

  Proven, hands-on experience with a leading trade surveillance platform is essential (e.g.,

  NASDAQ SMARTS

  , NICE Actimize, b-next, or proprietary systems).

• Regulatory Expertise:

  Good knowledge of regulatory reporting regimes such as EMIR (EU), MAS (Singapore), MiFIR (EU), or CFTC (US) reporting is highly desirable.

• Leadership:

  Demonstrated experience in managing or leading a small team, with strong delegation and oversight skills.

• Analytical Skills:

  Exceptional analytical and problem-solving skills with a high degree of attention to detail.

• Communication:

  Excellent written and verbal communication skills, with the ability to articulate complex issues clearly to diverse stakeholders.