Compliance Officer Commodities

 The person performing this trading desk advisory position will be responsible for implementing and managing the overall compliance program for the Commodities trading business line in the Houston Office. 

The business group performs sales, trading, structuring and corporate coverage activities primarily in power and natural gas markets. 

Particular focus on complex commodity derivatives and environmental finance. 

The group also engages in futures market trading, in connection with its OTC activities.
• Implementing and managing the local compliance program for this Business Area in a manner designed to meet regulatory requirements and industry best practices.
• Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities, and working with supervisors in NY to implement any required changes to current policy / practice.
• Drafting and updating policies and procedures. 
• Developing trade surveillance reports.
• Participating in internal investigations, responding to regulatory inquiries, and coordinating internal and external audits and inspections. 
• Interacting with regulatory agencies and exchanges.
• Providing regulatory/compliance training as needed.