Regulatory and Compliance Advisor

Key Responsibilities

• Ensure global commodities trading activities comply with applicable regulatory, market conduct, and exchange requirements.
• Act as a trusted advisor to senior management and front-office trading teams on regulatory matters and upcoming regulatory changes.
• Develop, implement, and maintain compliance policies and procedures across multiple jurisdictions.
• Conduct trade surveillance, monitoring, and regulatory reviews to identify potential breaches and market abuse risks.
• Identify, assess, and mitigate compliance risks in partnership with Trading, Legal, Market Risk, and Risk Operations.
• Serve as the primary point of contact for regulatory bodies and manage regulatory inquiries and interactions.
• Provide compliance training, guidance, and educational materials to the trading community.
• Monitor emerging regulatory trends and assess compliance implications for new products and transactions.
• Support strategic compliance initiatives and promote a strong culture of integrity and transparency across trading activities.

Required Qualifications

• Bachelor’s degree in Business, Finance, Economics, Law, or a related discipline (Master’s degree preferred).
• Minimum 5+ years’ experience in commodities trading compliance or a related regulatory role (10+ years for Senior Advisor level).
• Hands-on experience with trade surveillance and monitoring tools.
• Strong knowledge of global trading regulations including CFTC, Dodd-Frank, MiFID II, EMIR, and MAR.
• Experience with ETRMs, surveillance platforms, and regulatory reporting systems (e.g. ICE, CME).
• Solid understanding of market conduct risks such as market manipulation, spoofing, and anti-trust.
• Strong analytical, risk management, and problem-solving skills.
• Confident communicator with the ability to challenge trading activities and influence senior stakeholders.
• Proven ability to work autonomously while leading cross-functional initiatives and mentoring others.