This job ad has been posted over 40 days ago...
Energy Trading Compliance Officer
at Compliance Search Group in Connecticut
The Senior Energy Trading Compliance Officer will have responsibility for enhancing, maintaining
and overseeing the Company's compliance program for its North American and UK/EU energy trading
operations.
The person will be responsible for a wide array of matters including Regulatory, Exchange, Limits, New Business, Inquiries & Litigation, Audits, Policies & Procedures.
• Trading Compliance: Serving as liaison with Exchanges and Regulatory Authorities and
advising the Company on issues related to its trading activities
• Regulatory: Following legal and regulatory and enforcement developments and trends
at the CFTC, FTC and FERC. Working with Legal and business groups to coordinate
and ensure compliance with applicable rules and requirements
• Exchanges: Monitoring the rules and regulations of the relevant exchanges (including
CME/ NYMEX (Clearport/GLOBEX), ICE, CCE, CCFE and NGX) and advising the
Company on related structural and operational issues. Working with Legal and business
groups to ensure compliance with Exchange rules and reporting requirements as well as
to pursue relief as business needs dictate.
• Limits Issues: Together with Trading Operations, monitoring compliance with trading and
position limits and coordinating the process of seeking hedge and other exemptions for
trading position limits as required to meet the trading business’ hedging and other business needs.
• New Businesses: Working with Legal, analysis of regulatory aspects of new initiatives (e.g.,
equities trading), evaluating compliance requirements and developing and/or adapting
policies and procedures and the compliance monitoring and trade surveillance programs in
response to new high-priority risks to the business.
• Inquiries & Litigation: Working with Legal, managing investigations / potential
disciplinary actions and other inquiries from governmental and non-governmental sources
(e.g., recent CFTC and DOJ subpoenas on market manipulation) or trading related
litigation or class action recoveries. Responsibilities include working with internal and
external counsel in conducting internal investigations as required, managing document
production, coordinating and drafting a formal response and developing litigation strategy
or managing the subsequent disciplinary process.
• Audit / Investigations: Assist in the development and implementation of systems to monitor the
Company’s trading activities to identify areas of potential concern, includes surveillance for trade
anomalies and analyzing trends and trading data to ensure that trading behavior complies with
applicable internal and external policies, laws, rules and regulations. Also, working with Legal to
develop and maintain procedures for conducting internal investigations and for exception
handling/escalation to ensure internally-identified trade anomalies are handled consistently and in
accordance with applicable laws and policies. Assisting Legal in determining whether any follow
up with the relevant authorities is recommended or required.
• Clearing & Brokerage: Assist with issues relating to clearing, Exchange delivery issues (e.g.,
disputes and force majeure issues), brokerage accounts and Give-Up arrangements.
• Exchange and Industry Associations: Represent Company at exchanges and within futures
industry; manage issues relating to Exchange Memberships and issues of concern to member
firms. Lobby Exchanges/regulators concerning policy/regulation changes beneficial to the
Company.
• Other Transactional Issues: Working with Legal, advising business groups on the
structure of certain swap and OTC transactions and permitted activities in connection
with such transactions and monitor how these instruments are being used.
Please email resumes to Jack Kelly atThe Senior Energy Trading Compliance Officer will have responsibility for enhancing, maintaining
and overseeing the Company's compliance program for its North American and UK/EU energy trading
operations.
The person will be responsible for a wide array of matters including Regulatory, Exchange, Limits, New Business, Inquiries & Litigation, Audits, Policies & Procedures.
• Trading Compliance: Serving as liaison with Exchanges and Regulatory Authorities and
advising the Company on issues related to its trading activities
• Regulatory: Following legal and regulatory and enforcement developments and trends
at the CFTC, FTC and FERC. Working with Legal and business groups to coordinate
and ensure compliance with applicable rules and requirements
• Exchanges: Monitoring the rules and regulations of the relevant exchanges (including
CME/ NYMEX (Clearport/GLOBEX), ICE, CCE, CCFE and NGX) and advising the
Company on related structural and operational issues. Working with Legal and business
groups to ensure compliance with Exchange rules and reporting requirements as well as
to pursue relief as business needs dictate.
• Limits Issues: Together with Trading Operations, monitoring compliance with trading and
position limits and coordinating the process of seeking hedge and other exemptions for
trading position limits as required to meet the trading business’ hedging and other business needs.
• New Businesses: Working with Legal, analysis of regulatory aspects of new initiatives (e.g.,
equities trading), evaluating compliance requirements and developing and/or adapting
policies and procedures and the compliance monitoring and trade surveillance programs in
response to new high-priority risks to the business.
• Inquiries & Litigation: Working with Legal, managing investigations / potential
disciplinary actions and other inquiries from governmental and non-governmental sources
(e.g., recent CFTC and DOJ subpoenas on market manipulation) or trading related
litigation or class action recoveries. Responsibilities include working with internal and
external counsel in conducting internal investigations as required, managing document
production, coordinating and drafting a formal response and developing litigation strategy
or managing the subsequent disciplinary process.
• Audit / Investigations: Assist in the development and implementation of systems to monitor the
Company’s trading activities to identify areas of potential concern, includes surveillance for trade
anomalies and analyzing trends and trading data to ensure that trading behavior complies with
applicable internal and external policies, laws, rules and regulations. Also, working with Legal to
develop and maintain procedures for conducting internal investigations and for exception
handling/escalation to ensure internally-identified trade anomalies are handled consistently and in
accordance with applicable laws and policies. Assisting Legal in determining whether any follow
up with the relevant authorities is recommended or required.
• Clearing & Brokerage: Assist with issues relating to clearing, Exchange delivery issues (e.g.,
disputes and force majeure issues), brokerage accounts and Give-Up arrangements.
• Exchange and Industry Associations: Represent Company at exchanges and within futures
industry; manage issues relating to Exchange Memberships and issues of concern to member
firms. Lobby Exchanges/regulators concerning policy/regulation changes beneficial to the
Company.
• Other Transactional Issues: Working with Legal, advising business groups on the
structure of certain swap and OTC transactions and permitted activities in connection
with such transactions and monitor how these instruments are being used.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
and overseeing the Company's compliance program for its North American and UK/EU energy trading
operations.
The person will be responsible for a wide array of matters including Regulatory, Exchange, Limits, New Business, Inquiries & Litigation, Audits, Policies & Procedures.
• Trading Compliance: Serving as liaison with Exchanges and Regulatory Authorities and
advising the Company on issues related to its trading activities
• Regulatory: Following legal and regulatory and enforcement developments and trends
at the CFTC, FTC and FERC. Working with Legal and business groups to coordinate
and ensure compliance with applicable rules and requirements
• Exchanges: Monitoring the rules and regulations of the relevant exchanges (including
CME/ NYMEX (Clearport/GLOBEX), ICE, CCE, CCFE and NGX) and advising the
Company on related structural and operational issues. Working with Legal and business
groups to ensure compliance with Exchange rules and reporting requirements as well as
to pursue relief as business needs dictate.
• Limits Issues: Together with Trading Operations, monitoring compliance with trading and
position limits and coordinating the process of seeking hedge and other exemptions for
trading position limits as required to meet the trading business’ hedging and other business needs.
• New Businesses: Working with Legal, analysis of regulatory aspects of new initiatives (e.g.,
equities trading), evaluating compliance requirements and developing and/or adapting
policies and procedures and the compliance monitoring and trade surveillance programs in
response to new high-priority risks to the business.
• Inquiries & Litigation: Working with Legal, managing investigations / potential
disciplinary actions and other inquiries from governmental and non-governmental sources
(e.g., recent CFTC and DOJ subpoenas on market manipulation) or trading related
litigation or class action recoveries. Responsibilities include working with internal and
external counsel in conducting internal investigations as required, managing document
production, coordinating and drafting a formal response and developing litigation strategy
or managing the subsequent disciplinary process.
• Audit / Investigations: Assist in the development and implementation of systems to monitor the
Company’s trading activities to identify areas of potential concern, includes surveillance for trade
anomalies and analyzing trends and trading data to ensure that trading behavior complies with
applicable internal and external policies, laws, rules and regulations. Also, working with Legal to
develop and maintain procedures for conducting internal investigations and for exception
handling/escalation to ensure internally-identified trade anomalies are handled consistently and in
accordance with applicable laws and policies. Assisting Legal in determining whether any follow
up with the relevant authorities is recommended or required.
• Clearing & Brokerage: Assist with issues relating to clearing, Exchange delivery issues (e.g.,
disputes and force majeure issues), brokerage accounts and Give-Up arrangements.
• Exchange and Industry Associations: Represent Company at exchanges and within futures
industry; manage issues relating to Exchange Memberships and issues of concern to member
firms. Lobby Exchanges/regulators concerning policy/regulation changes beneficial to the
Company.
• Other Transactional Issues: Working with Legal, advising business groups on the
structure of certain swap and OTC transactions and permitted activities in connection
with such transactions and monitor how these instruments are being used.
Please email resumes to Jack Kelly atThe Senior Energy Trading Compliance Officer will have responsibility for enhancing, maintaining
and overseeing the Company's compliance program for its North American and UK/EU energy trading
operations.
The person will be responsible for a wide array of matters including Regulatory, Exchange, Limits, New Business, Inquiries & Litigation, Audits, Policies & Procedures.
• Trading Compliance: Serving as liaison with Exchanges and Regulatory Authorities and
advising the Company on issues related to its trading activities
• Regulatory: Following legal and regulatory and enforcement developments and trends
at the CFTC, FTC and FERC. Working with Legal and business groups to coordinate
and ensure compliance with applicable rules and requirements
• Exchanges: Monitoring the rules and regulations of the relevant exchanges (including
CME/ NYMEX (Clearport/GLOBEX), ICE, CCE, CCFE and NGX) and advising the
Company on related structural and operational issues. Working with Legal and business
groups to ensure compliance with Exchange rules and reporting requirements as well as
to pursue relief as business needs dictate.
• Limits Issues: Together with Trading Operations, monitoring compliance with trading and
position limits and coordinating the process of seeking hedge and other exemptions for
trading position limits as required to meet the trading business’ hedging and other business needs.
• New Businesses: Working with Legal, analysis of regulatory aspects of new initiatives (e.g.,
equities trading), evaluating compliance requirements and developing and/or adapting
policies and procedures and the compliance monitoring and trade surveillance programs in
response to new high-priority risks to the business.
• Inquiries & Litigation: Working with Legal, managing investigations / potential
disciplinary actions and other inquiries from governmental and non-governmental sources
(e.g., recent CFTC and DOJ subpoenas on market manipulation) or trading related
litigation or class action recoveries. Responsibilities include working with internal and
external counsel in conducting internal investigations as required, managing document
production, coordinating and drafting a formal response and developing litigation strategy
or managing the subsequent disciplinary process.
• Audit / Investigations: Assist in the development and implementation of systems to monitor the
Company’s trading activities to identify areas of potential concern, includes surveillance for trade
anomalies and analyzing trends and trading data to ensure that trading behavior complies with
applicable internal and external policies, laws, rules and regulations. Also, working with Legal to
develop and maintain procedures for conducting internal investigations and for exception
handling/escalation to ensure internally-identified trade anomalies are handled consistently and in
accordance with applicable laws and policies. Assisting Legal in determining whether any follow
up with the relevant authorities is recommended or required.
• Clearing & Brokerage: Assist with issues relating to clearing, Exchange delivery issues (e.g.,
disputes and force majeure issues), brokerage accounts and Give-Up arrangements.
• Exchange and Industry Associations: Represent Company at exchanges and within futures
industry; manage issues relating to Exchange Memberships and issues of concern to member
firms. Lobby Exchanges/regulators concerning policy/regulation changes beneficial to the
Company.
• Other Transactional Issues: Working with Legal, advising business groups on the
structure of certain swap and OTC transactions and permitted activities in connection
with such transactions and monitor how these instruments are being used.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 06-07-2010
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Viewed: 10 times