Senior Compliance Officer-Houston, TX
2 weeks ago
Base Salary is $125K to $175K (based upon candidate & experience); Plus Discretionary Bonus; and Excellent Benefits
Incredible Organization with Equally Incredible People | Houston, TX
Multi-office, solidly established, international, boutique analytics-focused hedge fund is looking for an experienced, commercially minded versatile Senior Compliance Officer to join its Houston Trading Office. Successful candidate(s) should be commercially focused and pragmatic with a strong experience of working in an energy trading business/fund. This role will report into the Head of Compliance in London, so the ability to work autonomously and build networks is essential.
This is an exciting opportunity to join a growing business with people who are passionate about energy and culture Currently working Hybrid with Four (4) Days Weekly in the firm's West Oaks/Woodway Area Office.
REQUIREMENTS
- Bachelor's Degree required.
- Eight Plus (8+) years of experience in/with Commodities Compliance, ideally from working in-house in a trading firm, energy major or hedge fund.
- Knowledge of wholesale financial and physical markets.
- Knowledge of US regulations and regulators including experience of CFTC/NFA Rules relating to a Commodity Trading Advisor/Commodity Pool Operator required.
- Knowledge of Commodity Exchange Act/SEC rules.
- Knowledge of EU regulators/regulations useful, but not required.
- Rules relating to ICE US, CME, and Nodal, including the ability to advise on them and handle exchange queries.
- Knowledge of FTRs (SPP, MISO, CAISO, PJM, ERCOT) and related FERC rules useful.
- Experience of using and developing Communications and Transaction Monitoring Software, including alert calibration and investigating 'hits'.
- Excellent written and verbal communication skills and able to communicate complex ideas concisely.
- 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, including get into the detail.
- Open to new ideas, develops new ways of working, challenges the status quo.
- Knowledge of fund structures would be an advantage.
- Genuine interest in Gas and Power Markets plus renewable investments desired.
KEY ACCOUNTABILITIES
- Support for Trading teams across Houston and New York, ensuring delivery of consistent advice, guidance, training, and assurance.
- Provide guidance to trading, commercial and strategy colleagues in relation to current and forthcoming business development activities.
- Manage compliance responsibilities, with primary focus on the US business regarding trades and transactions. Knowledge of US regulations and regulators required.
- Provide support to Compliance function in EU. Knowledge of EU regulators useful but not required.
- Implement and monitor the Group's global and local US compliance policies.
- 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.
- Development of internal trading surveillance capabilities, ensuring we identify, escalate, report, and rectify issues.
- Responses to market related investigations and requests for information (RFIs), in relation to our US trading activities, received from regulators, exchanges and other external bodies.
- Provide guidance to trading, commercial and strategy colleagues in relation to current and forthcoming business development activities.
- Develop and deliver tailored training to the US business.
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