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Trade Compliance Analyst
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- The Trade Compliance Analyst supports 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.
- 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
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