A leading energy trading firm is seeking a seasoned Head of Compliance to lead and evolve its compliance and surveillance function. This role will serve as a key member of the leadership team and will be responsible for designing, implementing, and overseeing the firm’s compliance strategy across all trading and operational activities.
Key Responsibilities:
- Lead the development and execution of the firm's compliance and surveillance program, with a focus on commodity trading activities.
- Advise executive leadership on regulatory obligations, risk mitigation, and best practices related to market conduct and business operations.
- Monitor and interpret evolving regulatory landscapes affecting energy trading at the federal, state, and international levels.
- Oversee compliance training, policy development, internal reporting, and audit processes.
- Manage interactions with regulatory bodies and ensure timely and accurate responses to inquiries or examinations.
- Build and manage a growing compliance team as the organization continues to scale.
- Collaborate with front-office, risk, legal, and operations teams to embed compliance across the organization.
Qualifications:
- Minimum of 10 years of relevant experience in compliance, with a strong background in physical and financial commodity trading.
- Deep understanding of applicable regulations and market practices (e.g., CFTC, FERC, NERC, ICE, CME, etc.).
- Prior experience designing or enhancing compliance and trade surveillance frameworks.
- Proven ability to operate in a dynamic, fast-paced environment with a hands-on and strategic mindset.
- Excellent leadership, communication, and stakeholder management skills.
