Trading Compliance Manager

Job Title: Trading Compliance Manager

JOB ID: 19-05110

City: Houston

State: TX

Genuent is hiring a Trading Compliance Manager for our direct client located in the Houston, TX area.  This is a full-time, direct hire position.  Qualified candidates should send an updated, Word version of their resume to Cara Mason at CMason@Genuent.com.

Manager Trading Compliance
Location: Houston, TX 77002
Direct Hire


Job Summary:
  • Acts as a team resource to ensure compliance with Federal, State, trading markets rules and regulations.
  • Will ensure compliance with regulatory standards, including processes for the self-reporting of non-compliance.
  • Responsibilities include maintaining existing FERC and CFTC department folders, training processes and preparing compliance training presentations, facilitating submittal of market participation certifications, preparing hedge exemptions, review of communications and overseeing Exchange position limit aggregation reports.
  • The successful candidate will advise and recommend improvements to compliance monitoring systems, maintain training database records and assist with investigations as required.
  • Supervisory responsibilities include the review, assessment and recommendation of exceptions in the communications area.  
  • The Manager will maintain a calendar of compliance obligations and manage work assignments within filing deadlines and if necessary, file the actual report.
  • The Manager may serve as a liaison between Client and Exchanges (ICE/NYMEX/Nodal) and other regulators as required for trading compliance issues including but not limited to any reporting requirements, audit requirements, or other applicable information requests.  
  • The Manager will assist with Client's responses to external regulators regarding trading matters, audits, notices of non-compliance, and any requests for information associated with compliance requirements by the various entities.
  • The experience set includes an understanding of compliance areas for phys/fin trading, operations, physical natural gas, physical power and environmental markets.
  •  A strong background in the legal construct and related compliance applicability to hedging and virtual trading operations is preferred.  
  • The Manager will be asked to help further develop compliance Policies and Procedures used to assess compliance risk.  
  • Position may require travel on short notice. 
 Education & Experience
  • College degree (pre-law, philosophy), prefer graduate degree  
  • Prefer energy trading compliance experience (FERC & CFTC) combined with deep understanding of accounting
  • Experience in the investigative process, interview, documentation and review
  • Excellent English grammar skills
  • Trading Compliance experience in both Power and Gas Markets
  • Prefer a minimum of 10+ years in area of specialization including significant exposure to either compliance, trading, or risk 
 
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