Requisition ID: 98527
Position Specific DescriptionSupport 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 OverviewThe Trade Compliance Manager coordinates NEER's compliance initiatives regarding SOX, CFTC, and FERC activities across business units. They play a central role in executing and supervising compliance strategies, while building a culture of compliance within the organization. The manager also provides leadership and guidance to the compliance team while driving process improvements and strategic initiatives with minimal oversight.
Job Duties & Responsibilities• Implement and improve policies to ensure compliance with regulations
• Lead the management of SOX compliance efforts and processes
• Supervise a team of compliance analysts and provide guidance and performance feedback
• Develop strategic initiatives and compliance policies for trade compliance
• Serve as lead liaison between Trading Risk Management and external stakeholders
• Analyze trading activities for compliance with FERC and CFTC regulations
• Monitor compliance metrics and prepare reports for senior executive review
• Facilitate and participate in key compliance-related decision making
• Performs other job-related duties as assigned
Required Qualifications• Bachelor's degree in Finance, Business Management, or related field
• Minimum 8+ years of experience
• Minimum 1-2+ years in a leadership role
Preferred Qualifications• None
NextEra Energy offers a wide range of benefits to support our employees and their eligible family members. Click
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Employee Group: Exempt
Employee Type: Full Time
Job Category: Compliance
Organization: NextEra Energy Marketing, LLC
Relocation Provided: Yes, if applicable
