Compliance Manager
Position Specific Description
Support the compliance team and Director Trade Compliance with the coordination of all of NEER’s SOX, CFTC, FERC (or other regulatory agencies as required) compliance activities, both internally and externally, as needed. The mission of the role is to assist the Business Unit in ensuring compliance with all applicable SOX, CFTC and FERC requirements by working directly with NEER Business Units to implement and maintain a sustainable culture of compliance.
Responsibilities include, but are not limited to:
Help to implement, oversee and edit policies, procedures, processes and controls to ensure compliance with all applicable regulations including training and educating business unit employees
Assist Business Unit with management all aspects of SOX compliance – narrative understanding and editing, documentation of controls, participation and support of testing, meeting with internal and external audit, review of possible deficiencies, IT remediation, etc.
Monitor trading activity, business unit processes and procedures, and required reporting obligations to ensure compliance with FERC and/or CFTC regulations by analyzing data, building/modifying reports, and/or running queries (this includes monitoring and tracking trading exceptions to our policies)
Liaise with NEE General Counsel, NEE Internal Audit, our external audit partners, NEE Corporate Responsibility Office (CRO), Federal Regulatory Affairs (FRA), other Trading Risk Management groups and commercial groups
Develop and/or execute processes that ultimately review trade and communications data for activity that may appear manipulative in nature and be able to assess when to escalate suspicious behavior (Anti-Market Manipulation)
Prepare annual compliance reports required by internal management or any of the business units’ regulatory agencies
Help with applicable CFTC risk assessments, rule impact analysis, testing controls, etc.
Assist in gathering and analyzing compliance metrics and reporting to senior management
As needed, work with IT to provide guidance on required enhancements to system functionality, assist in testing compliance functionality, prioritization of tasks, and ensure projects are delivered on time to adhere to compliance deadlines. This may include doing deep dives into Power BI report building, SQL and Power Automate.
Keep Director and VP within Trading Risk Management apprised of all efforts supporting above areas
Complete ad hoc projects as assigned
Job Overview
The leader in this role performs and coordinates activities related to internal and external audits of Company or business unit functional areas to ensure compliance with enforceable standards.
Job Duties & Responsibilities
Assists business units in the preparation and submittal of documents required for compliance and related legal proceedings
Interacts with compliance teams, regulatory groups and other company personnel to build relationships, address compliance issues, develop advocacy plans and resolve problems
Analyzes and communicates the impact of key regulatory issues related to strategic business goals and potential market impact
Monitors standard approval process at the applicable level and participates in workshop panels and submits comments as required
Performs other job-related duties as assigned
Required Qualifications
High School Grad / GED
Bachelor’s or Equivalent Experience
Experience: 8+ years
Leadership Experience: 2+ years
Preferred Qualifications
Bachelor’s Degree
Master’s Degree
