Regulatory Compliance Analyst
2 weeks ago
The Trade Compliance Specialist plays a crucial role in supporting the Compliance division to uphold the organization’s adherence to applicable laws and regulations governing its crude and product trading operations. This position involves assisting in the oversight of both physical and derivative transactions to ensure compliance with CFTC and Exchange Regulations.
Key Responsibilities:
- Formulate and execute company policies, guidelines, and procedures while assessing existing protocols for effectiveness.
- Facilitate the onboarding process for new counterparties and intermediaries, addressing inquiries during the Know-Your-Customer verification process.
- Engage in the evaluation of new transactions to assess their implications on legal compliance.
- Develop and sustain compliance frameworks, policies, and procedures, ensuring adherence throughout the organization.
- Assist in the surveillance of derivatives and physical trading activities to ensure alignment with federal regulations and exchange standards.
- Recommend and implement innovative monitoring and surveillance strategies in response to evolving business activities and regulatory changes.
- Ensure accurate reporting of current activities and rigorously document and evaluate the company’s reporting mechanisms.
- Stay informed about emerging, revised, and upcoming regulations and directives relevant to the business, facilitating necessary adjustments.
Qualifications:
- A Bachelor’s degree is mandatory.
- A minimum of 4 years of experience in risk management and compliance within the energy commodities sector.
- Experience in compliance related to futures and physical commodities trading is essential.
- Familiarity with commodity regulations and reporting requirements.
- Understanding of terms and conditions prevalent in crude oil purchase and sale agreements.
- Proficient in the use of trading analytical tools and trade surveillance software.
- A highly organized self-starter capable of delivering quality results in a dynamic environment.
- Ability to work under pressure and meet tight deadlines.
Please note that sponsorship for temporary visa status will not be provided for this position.
We do not accept unsolicited resumes from third-party recruitment agencies and will not pay a fee for any resumes submitted.
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