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Compliance Manager
4 months ago
EDF Trading North America, LLC is a major participant in wholesale energy markets and delivers customized energy solutions for our customers.
We operate in every market and provide coast to coast coverage of financial and physical products in power, natural gas and NGLs, environmental products and financial crude oil products. We provide our customers with products and services that deliver access to markets, optimize their energy portfolio, hedge risk and manage assets. Our Wholesale Business operates throughout the value chain in the North American wholesale power markets and we are one of the leading wholesale natural gas marketers. Additionally, we provide environmental, congestion management and value added derivative products. With extensive pipeline agreements, we can manage natural gas offtakes, deliveries, capacities and supply anywhere across the continent.
EDF Trading North America, LLC is part of the EDF Group, a global leader in low-carbon energies.
**Job Description**:
The Compliance Function ensures that EDF, its management, and its employees are in compliance with the rules and regulations of applicable regulatory agencies, company policies and Standard of Conduct and that an appropriate, robust and practical control and monitoring framework is in place in EDFT and its affiliates in North America. The function monitors adherence to the defined control processes that underpin the integrity of EDF’s core reporting and business systems. Ad-hoc control reviews and investigations are conducted by the function, some of which are standard, and others which are conducted at the request of any person or team within the company.
**Responsibilities**:
- Ensuring appropriate (tailored) control frameworks are in place for the various business activities, with particular focus on CFTC requirements, exchange requirements, and Dodd Frank requirements
- Monitors the performance of the Compliance Program and related activities on a continuing basis, taking appropriate steps to improve its effectiveness
- Conducts regular compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
- Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of any such areas, factoring in the constantly-changing risk profile of the trading business and emerging compliance trends
- Manage the development and ongoing maintenance of an effective Compliance Program (including any IT-related elements)
- Responds to inquiries or notices from CFTC, FERC, exchanges, or other relevant governmental bodies by investigating any such matters and responding timely to such inquiries or notices
- Proactively, in conjunction with business teams, identifies compliance improvement initiatives
- Providing support to significant system change initiatives and projects to ensure that sound controls are included at the design-phase
- Act as an independent review and evaluation body with respect to ensure compliance issue/concerns within the organization are properly evaluated, investigated, and resolved
- Collaborates with other departments (e.g. Risk, Internal Audit, Regulatory, Internal Control) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with internal legal counsel as needed to resolve legal compliance issues
- Taking on change management accountabilities by ensuring continued operation of the compliance environment during periods of change driven by, for example, regulatory requirements or new acquisitions
- Producing compliance reports on external market incidents relating to trading activities
- Oversee a system for uniform handling of violations of the Compliance Program
**Requirements**:
- Bachelor’s degree from an accredited university required, Master’s degree preferred
- Minimum of seven (7) years relevant industry experience in compliance, regulatory, internal audit in U.S. and Canada
- Solid understanding of laws and regulations pertaining to financial and physical energy trading such as CFTC, FERC, Dodd-Frank, etc. Dodd-Frank preferred.
- Experience in a natural gas and power energy trading environment; knowledge of electricity market design and rules a plus
- Experience in control evaluation & design and maintenance of business processes in a fast-changing and significant regulatory environment
- Experience with designing trade monitoring systems and strategies
- Experience with controls and assessment of risk within complex financial processes
- Ability to work independently and collaboratively
- Ability to effectively prioritize multiple projects and meet deadlines to produce high quality work in a very fast paced environment
Note: EDF is an EEO employer
EDF participates in the E-Verify Employment Verification Program.
