Compliance Officer providing regulatory compliance support within the asset services business line. Managing compliance frameworks and guiding risk owners on regulatory obligations.
About the role
- Senior Director overseeing global trading compliance at CHS, ensuring alignment across trading activities. Lead compliance elements and risk management strategies in commodity trading.
Responsibilities
- Leading and developing a high-performing and engaged team across all Trading Compliance program areas for commodities, including new product and geographic expansion, surveilling of traders and activities and related areas such as Credit Compliance.
- Developing and maintaining strong relationships with key strategic stakeholders / leaders globally and serving as a critical business partner to ensure all trading activities and associated compliance and other key risks are identified, understood, and appropriately managed across the company for current and new products and markets.
- Developing and setting strategic direction for development, maturity and maintenance of the trading compliance and new product risk programs (including IT strategy for compliance) while overseeing daily tactical and operational support including surveillance of trading activity and investigation protocols.
- Consulting on and participating in corporate projects such as mergers, acquisitions, joint ventures and divestitures as well as development of new or existing trading related system platforms to ensure trading compliance issues are identified and addressed.
- Leveraging a thorough understanding of trading compliance laws, regulations, market practices, internal processes and procedures to manage, approve and make decisions about CHS’s trading compliance programs, their operation and effectiveness.
- Overseeing the monitoring of relevant regulatory and market developments and internal trading activity, including developing and maturing appropriate governance, escalation and approval processes for new trading activities / structures and markets, as well as adherence to all relevant regulatory limits.
- Interacting directly with government agencies (such as the CFTC), exchanges (such as the CME) and self–regulatory organizations (such as the NFA) and leading the response to regulatory inquiries, audits, examinations and investigations.
- Presenting on Trading Compliance and New Product Risk issues and status to the Strategic Leadership Team and Board Risk Committee and CHS Board of Directors, serve on regulated entity risk committee and act as a compliance advisor to its Board of Managers.
- Empowering CHS to compete with integrity and confidence in the highly complex and regulated global marketplace CHS encounters every day.
Requirements
- Bachelor’s Degree in finance, accounting, economics or business, or related area of study.
- 10+ years of leadership experience in commodity risk management in one or more of the following areas: Commodity trading, Commodity execution, Commodity risk management, Trading compliance.
- Thorough understanding of physical and financial agricultural and/or energy commodity markets and products, including futures, options and swaps.
- Thorough knowledge of compliance laws, rules and regulations, such as CFTC, NFA, CME, etc., as well as of emerging regulations related to commodity trading activities.
- Significant experience working with complex financial information systems and controls in a diverse and complex business environment.
- Substantive experience in the following areas: Compliance Program administration, Training and communications, Policy development, System design and implementation
Benefits
- Health insurance
- 401(k)
- Pension
- Profit sharing
- Short- and long-term disability
- Tuition reimbursement
- Adoption assistance
- Paid time off
- Wellness programs
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