Commercial Trading Compliance Specialist for Gas and Power Markets

4 days ago

Houston, Texas, United States iSphere Full time
Job Description

iSphere is seeking an experienced Commercial Trading Compliance Analyst to support our clients' trading activities in the North American Physical Gas and Power markets.

Key Responsibilities
  • Gas & Power Markets Compliance Support - Provide support to our clients' Commercial traders in trading North American Physical Gas and Power markets, including understanding relevant market rules, applicable regulations, and compliance requirements for new market authorizations.
  • Gas & Power Commodity Derivative Trading - Track relevant rules and regulations related to gas & power commodity derivative trading activity on exchange and over-the-counter, ensuring our clients' traders are aware of their compliance obligations and responsibilities to the exchanges and applicable regulators.
  • Trade Surveillance - Conduct risk-based trade surveillance of gas and power commodity derivative trading conducted on US exchanges, using standard indicator reports in the Nasdaq Trade Surveillance ('NTS') tool to identify potential exceptions such as wash trades, spoofing, market manipulation, etc.
  • Position Limits - Evaluate daily futures and option positions to ensure compliance with regulated exchange position limits (i.e., Intercontinental Exchange and NYMEX/CME Group).
  • Compliance Awareness and Learning - Assist the Global CTC Team in increasing our clients' trading personnel's awareness of relevant rules and regulations by creating and implementing tailored and engaging online and face-to-face learning modules.
  • Internal Compliance Controls - Ensure our clients' trader compliance with internal controls and policies, including authority limits, late trades, etc., maintaining and enhancing internal monitoring reports, and escalating potential internal policy violations to management.
  • Compliance Investigations - Support the GEC Ethics Department and Chief Compliance Officer in conducting internal investigations of our clients' trader behavior as required, summarizing key issues as appropriate.
  • External Regulatory Awareness - Maintain compliance and regulatory knowledge of CFTC, FERC, and ISO rules for power, renewables, and gas markets.
  • Compliance Advisory - Monitor changes to regulatory requirements and exchange rules and communicate impact to relevant internal stakeholders, including Trade Managers, Traders, and back-office functions, providing timely, accurate advice and guidance on compliance and regulatory issues.
Required Experience
  • Education - A Bachelor's degree is required.
  • Commercial Trading Exposure - Three years or more of experience supporting a Commercial Trading function, with exposure to front and mid-office trading activities.
  • Product and Market Knowledge - Knowledge of gas products, ISO/RTO power products (including FTRs and Virtual trades), commercial competence of traded products, markets, and strategies, both physical and paper-based trading, and demonstration of knowledge of CFTC, FERC, and ISO rules for power, gas, and renewables markets.

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