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Original posting from Cititec via LinkedIn
Compliance Manager/Head of Trading Compliance
Stamford, CT
Cititec are partnered with a growing US commodities trading firm who are looking for an experienced and commercially minded Compliance Manager to lead and evolve their compliance framework across U.S. power and gas markets. This is a highly visible, front-office-facing role where you’ll take the lead on shaping, running, and evolving our client’s compliance framework across US power and gas markets, as the lead of compliance across the trade floor.
Key Responsibilities
- Ensure all trading activities comply with applicable U.S. regulations, including CFTC, FERC, and EIA requirements, as well as ISO rules and internal policies
- Prepare and submit regulatory filings, including hedge exemptions, CFTC Form 40, and FERC Form 552
- Develop and deliver compliance training programs to ensure ongoing awareness of regulatory changes and internal standards
- Advise trading teams on exchange rules, position limits, hedge exemptions, and related compliance matters
- Monitor trading activity and communications, continuously enhancing surveillance methodologies
- Support responses to regulatory inquiries, investigations, and audits related to U.S. trading activities
- Collaborate cross-functionally to strengthen compliance frameworks, controls, and processes
- Lead the annual market conduct risk assessment to identify and prioritize key compliance risks
Skills & Experience
- 10–15 years of compliance experience within trading environments
- Proven experience working with algorithmic or systematic trading operations
- Strong background in both financial and physical energy commodities markets
- Deep understanding of risk and compliance within energy trading
- Extensive knowledge of U.S. regulatory frameworks and reporting requirements
- Familiarity with exchange rules, particularly ICE US, CME, and Nodal
- Solid understanding of U.S. power markets, ISOs (including ERCOT), and Financial Transmission Rights
- Bachelor’s degree in Finance, Economics, Accounting, Business, or a related field
Source: Cititec careers (LinkedIn)