{ "media_type": "text", "post_content": "I am interviewing for a compliance role in Trading and Supply. I am only knowledgeable on AML risk but the other compliance risks I do not have a clue about like licensing, privacy, market abuse etc. For example, what does licensing pertain to. Is that the trader’s licensing??\nAnyone that has trading and supply compliance knowledge that can help give me an overview??", "post_id": "5f2f1872f62cdb0020a93a4e", "reply_count": 5, "vote_count": 1, "bowl_id": "5ada45a4fcc0e00018044d9d", "bowl_name": "Oil & Gas Industry Consultants" }

I am interviewing for a compliance role in Trading and Supply. I am only knowledgeable on AML risk but the other compliance risks I do not have a clue about like licensing, privacy, market abuse etc. For example, what does licensing pertain to. Is that the trader’s licensing?? Anyone that has trading and supply compliance knowledge that can help give me an overview??

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So it depends on the trading entity and transaction volume. If its a swap dealer or major swap participant, compliance is a big deal. But if you’re just a traditional supply and trading, its things like risk policies, governing the front office to transactions that they can do, risk strategies and things like entering deals in the system in a timely manner.


Thanks for responding. Any idea about licensing risk?

The only type of licensing risks that Ive heard of is related to SaaS or PaaS type solutions. Understanding your licenses and keeping compliant to what was agreed upon between vendors and customers.

I thought it was trading licenses of the dealer

Or licenses from regulators to trade wholesale

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