Trade Monitoring and Compliance Advisor

3 weeks ago

Houston, United States JERA Americas Full time

**Summary**:
**Position Description**:

- Perform real time and post trade surveillance of physical and financial derivatives transactions; Monitor employee business conduct including voice and electronic communications and marketing material.
- Identify, manage, and escalate potential regulatory failures and risks. Determine corresponding action plans and solutions.
- Ensure the maintenance and improvement of an appropriate control environment to manage and mitigate regulatory risk associated with algorithmic and electronic trading.
- Work with all business units and internal partners to pro-actively identify key regulatory risk exposures and develop appropriate controls to manage and mitigate these risks.
- Update the compliance program policies, procedures on an ongoing basis to account for changes in regulation and new business; Optimize the effectiveness and the efficiency of the compliance monitoring program by reengineering the compliance processes and enhancing the compliance tools and surveillance systems.
- Conduct internal reviews and investigations and respond to regulatory enquiries and examinations.
- Prepare and present quarterly trade desk review reports and dashboards.
- Perform a regulatory watch and participate in deploying new regulatory projects.
- Provide advice to the business line in terms of trade conduct compliance. Review new products and activities to ensure that new initiatives are delivered in compliance with regulatory obligations.
- Develop training and education programs to front line employees and support functions.

**Qualifications**:
**Required Education and Experience**
- Undergraduate degree in business, economics, accounting, finance, or similar quantitative discipline; Advanced degree is a plus.
- Minimum of 5 years in an Energy Trading Firm, with 3 years’ experience in a Market Compliance role or an equivalent market compliance role at an exchange, RTO/ISO or governmental regulatory oversight body.
- Strong, working understanding of Energy markets and products (Power, Natural Gas, Liquefied Natural Gas, Environmental Products, etc.); experience with day-to-day operations, risk management and trading practices used in the industry and how such trading activities may interact to create the appearance of market manipulation or other market rule violations.
- Existing knowledge of and use of trading analytical tools and trade surveillance software.

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