Professional Alternatives
Senior Operational Compliance Analyst
Professional Alternatives, Houston, Texas, United States, 77246
To Apply for this Job Click HereJob ID#:
23190
Senior Operational Compliance Analyst
Houston, TX
Experience Required:
3-7 years in operational or market complianceRole Accountabilities:
Monitor regulatory and risk mitigation activities to ensure compliance with domestic financial and physical regulations, (i.e. CFTC, FERC, EIA, State Utility Commissions), and company policies.
Report trading activities efficiently and accurately to management and regulators.
Address and report any breaches in daily compliance processes to Operational Compliance Management and the Head of Risk Control.
Analyze and reconcile daily compliance issues, ensuring appropriate investigation and resolution.
Manage L2 CFTC Swap Reporting for the active trading and evolving power business, including data feeds (API, FTP) and contract analysis.
Provide solutions for operational risk requests from various National Regulation Authorities (NRAs).
Maintain documentation, records, and reports for audit purposes and retention.
Support process improvements of the company’s operational procedures and compliance framework, identify vulnerabilities, develop corrective action plans, and lead projects to develop and implement compliance tools.
Offer expertise and education for trading and trade support functions.
Assist the global operational risk team, including European and Asian reporting processes (EMIR, REMIT, MIFID II, MAS, ASIC).
Requirements:
Bachelor’s degree in Business, Economics, Finance, or related discipline (mandatory).
Graduate degree in Economics, Finance, Business, Mathematics, or quantitative discipline and/or relevant certification (preferred).
3 to 7 years in operational or market compliance, preferably in a commodity trading business.
Experience with swap reporting and other US commodity and financial trading compliance reporting.
Excellent presentation, oral, and written communication skills.
Ability to manage time-sensitive demands and maintain composure under volatile market conditions.
Intellectual curiosity in risk, compliance, and markets with a strong ethical stance.
High attention to detail and proven due diligence.
Strong analytical problem-solving skills and comprehensive understanding of finance and risk management methodologies.
Proficiency in Microsoft Excel, Power BI, and scripting tools/programs (Python, Alteryx, etc.).
Qualified Inquiries:
stucker@proalt.com (Primary contact)
rreyna@proalt.com (secondary contact)
To Apply for this Job Click Here#J-18808-Ljbffr
23190
Senior Operational Compliance Analyst
Houston, TX
Experience Required:
3-7 years in operational or market complianceRole Accountabilities:
Monitor regulatory and risk mitigation activities to ensure compliance with domestic financial and physical regulations, (i.e. CFTC, FERC, EIA, State Utility Commissions), and company policies.
Report trading activities efficiently and accurately to management and regulators.
Address and report any breaches in daily compliance processes to Operational Compliance Management and the Head of Risk Control.
Analyze and reconcile daily compliance issues, ensuring appropriate investigation and resolution.
Manage L2 CFTC Swap Reporting for the active trading and evolving power business, including data feeds (API, FTP) and contract analysis.
Provide solutions for operational risk requests from various National Regulation Authorities (NRAs).
Maintain documentation, records, and reports for audit purposes and retention.
Support process improvements of the company’s operational procedures and compliance framework, identify vulnerabilities, develop corrective action plans, and lead projects to develop and implement compliance tools.
Offer expertise and education for trading and trade support functions.
Assist the global operational risk team, including European and Asian reporting processes (EMIR, REMIT, MIFID II, MAS, ASIC).
Requirements:
Bachelor’s degree in Business, Economics, Finance, or related discipline (mandatory).
Graduate degree in Economics, Finance, Business, Mathematics, or quantitative discipline and/or relevant certification (preferred).
3 to 7 years in operational or market compliance, preferably in a commodity trading business.
Experience with swap reporting and other US commodity and financial trading compliance reporting.
Excellent presentation, oral, and written communication skills.
Ability to manage time-sensitive demands and maintain composure under volatile market conditions.
Intellectual curiosity in risk, compliance, and markets with a strong ethical stance.
High attention to detail and proven due diligence.
Strong analytical problem-solving skills and comprehensive understanding of finance and risk management methodologies.
Proficiency in Microsoft Excel, Power BI, and scripting tools/programs (Python, Alteryx, etc.).
Qualified Inquiries:
stucker@proalt.com (Primary contact)
rreyna@proalt.com (secondary contact)
To Apply for this Job Click Here#J-18808-Ljbffr