Senior Operational Compliance Analyst

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Job ID#: 23190

Senior Operational Compliance Analyst  
Houston, TX
**Experience Required:** 3-7 years in operational or market compliance  

Role 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)

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