Operations - Houston, Texas (Hybrid)
The Firm is a fast-growing business using technology and analytics expertise to generate profits in the energy commodity markets, with a focus on power and natural gas. Since inception in November 2016 the firm has a single, “brand-name” institution as its financial partner. The firm has grown to over 100 employees with offices around the globe.
Position Overview:
We are looking for an independent, diligent, and commercially minded Compliance Analyst to join our Houston trading office. This individual should be commercially focussed and pragmatic with some experience of working in an energy trading business. This role will report into the Head of Compliance in London, so the ability to work autonomously and build networks is essential.
Key Accountabilities:
• Support the Head of Compliance in providing consistent compliance advice, guidance, training, and assurance to the Trading teams across Houston and New York.
• Manage monthly, annual and ad hoc global regulatory reporting requirements.
• Aid the Head of Compliance in implementing and monitoring the Group’s global and local compliance policies including documenting and keeping accurate internal records required by SEC and CFTC/NFA.
• Horizon scan regulatory developments with regulatory bodies, market providers and industry associations to attain intelligence to recommend best in class Compliance practices across the business.
• Assist with providing advice and guidance to the business on existing as well as new regulations.
• Assist with responding to market related investigations and requests for information (RFIs), in relation to our US trading activities, received from regulators, exchanges and other external bodies.
• Assist in developing and deliver tailored training to the US business.
• Aid in the development and implementation of the firm's monitoring program.
• Assist with the compiling of compliance reporting and management information to relevant committees.
Requirements:
• 2-3 years’ experience of commodities compliance, ideally from working in-house in a trading firm, energy major or hedge fund.
• A good understanding of wholesale physical and financial markets.
• Base knowledge and understanding of CFTC, SEC and NFA Rules.
• Basic understanding of the ICE US, CME and Nodal exchange rules, including the ability to advise on them and handle exchange queries.
• Basic knowledge of FTRs (CAISO, PJM, ERCOT).
• Experience of processing communications and transaction surveillance alerts.
• Excellent written and verbal communication skills and able to communicate complex ideas concisely.
• High level of attention to detail and organizational skills
• Analytic and problem solving skills with the ability to cut through complexity to identify principal impacts and practical options.
• Ability to work collaboratively in a small team and perform tasks at all levels.
• Open to new ideas, develops new ways of working, challenges the status quo
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