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Regulatory Operations team is responsible for reporting to external stakeholders in the North America region, including the reporting and monitoring of trade, transaction and position information across a wide range of traded financial products and business lines for the CFTC (Commodity Futures Trading Commission), SEC (Securities and Exchange Commission), and CSA (Canadian Standards Association) obligations.
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Lead responses to regulatory inquiries, audits, examinations, and investigations, and liaising with regulators (SEC, CFTC & NFA), including working with outside counsel as needed. A deep understanding of financial products and SEC and CFTC regulations, including the Investment Advisers Act of 1940.
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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.
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Supervises a team of Youth and Milieu Stabilizations Workers (YMSW) who work to support the youth in the Therapeutic Days School (TDS) and Child and Family Treatment Center (CFTC). Works collaboratively with TDS and CFTC staff to create a therapeutic milieu and classroom.
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As a Systemically Important Financial Market Utility (SIFMU), OCC operates under the jurisdiction of the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), and the Board of Governors of the Federal Reserve System.
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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.
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Experience with high speed distributed computing frameworks such as AWS EMR, Hadoop, HDFS, S3, MapReduce, Apache Spark, Apache Hive, Kafka Streams, Apache Flink etc. Eg Terraform, Ansible, Jenkins, Kubernetes, Helm and CI/CD pipeline etc (required.
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Makes recommendations to OCEO and OPA leadership about internal or external resources that may be required to meet challenges posed by identified risks, threats, in order to educate customers with fraud prevention information in the markets that CFTC regulates.
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Knowledge of regulatory compliance requirements (money transmitters, BSA, AML/KYC, finance lenders, Gramm-Leach-Bliley Act, NYDFS BitLicense, broker-dealers, Alternative Trading System (ATS), Futures Commission Merchants (FCM), and other CFTC/SEC regulations.
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While this role will have a primary focus on physical gas or power activity, knowledge of futures exchange rules and requirements, CFTC rules, Dodd Frank regulations and transaction reporting to DTCC are desirable.
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Thorough knowledge of complex compliance laws, rules and regulations, such as CFTC, NFA, CME, etc., as well as of emerging regulations related to commodity trading activities. CHSs Trading Compliance and New Product Risk team is seeking a CHS Hedging LLC (Futures Commission Merchant, Commodity Trading Advisor) Compliance Expert to assist the CHS Hedging Chief Compliance Officer with ongoing requirements of the compliance program.
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Understanding of the blockchain and digital assets technology ecosystem (smart contracts, block explorers, crypto tracking and accounting software, blockchain analysis, and other RegTech tools). Familiarity with technical accounting matters common to the industry, such as token issuances, exchange/custodial accounting, DeFI, staking, lending, derivatives accounting, crypto basis tracking, etc.
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Such areas to include but are not limited to: Trading practices, Anti-money Laundering, Risk, Financial Controls, Conflicts of Interest, Fraud, Data Privacy, Records Management, etc. 10 years of work experience with 7+ years in commodity risk management in one or more of the following areas: Commodity trading Commodity execution Commodity risk management.
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Knowledgeable in a wide array of international laws, regulations, and frameworks relevant to payments/financial services, internet technology, and crypto, including banking regulations, money transmission laws, securities regulations, GDPR, BSA, CFPB, CFTC, FTC (including UDAAP), and more.
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Microsoft Azure Administrator certification or equivalent experience. Founded in 1973, OCC is dedicated to promoting stability and market integrity by delivering clearing and settlement services for options, futures and securities lending transactions.
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