Manager, Regulatory and Compliance

Professional Alternatives

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Job ID#: 10725

Manager, Regulatory and Compliance
The purpose of this job is to assist the Head of Regulatory and Compliance on monitoring and managing the compliance activities associated with Client’s crude and products’ physical and derivatives trading activities, including bio/renewable diesel blending and provide oversight of the KYC team.

  1. Participate in reviews of new transactions and new products; analyze the impact on compliance
  2. Assist with developing and maintain compliance plans, policies and procedures and monitor adherence to these policies
  3. Ensure existing requirements and future reporting specifications are documented and tested
  4. Oversight of the KYC team and processes
  5. Assist with the preparation of regulatory compliance reports and responses as required
  6. Research and provide updates on  upcoming, new and revised rules, regulations, and directives applicable to the business; facilitate changes as required
  7. Model behaviors that support the company’s common purpose; ensure guests and team members are supported at the highest level
  8. Ensure all activities are in compliance with rules, regulations, policies, and procedures
  9. Complete other duties as assigned
  • Bachelor’s degree in business, finance, STEM or related field required
  • Minimum three years’ experience required in developing, managing and leading compliance functions for futures, financial and physical commodities trading; five years’ experience preferred
  • Knowledge of KYC processes and procedures
  • Intermediate knowledge of commodities regulations and reporting
  • Intermediate knowledge and/or experience with commodities, trading and risk management software (e.g., RightAngle, risk rate) or other reporting tools
  • Intermediate Microsoft Office skills required; advanced skills preferred
  • Excellent written and oral communication skills, including the ability to communicate financial principles and practices
  • Ability to problem solve, manage conflict and work with a team
  • Excellent analytical skills and financial acumen
  • Ability to take initiative, work independently and make decisions with minimal supervision
  • Excellent organization and time management skills
  • Ability to set priorities, multitask, and meet deadlines in a fast-paced, dynamic environment
  • Travel required less than 10%

Qualified inquiries: [email protected]


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