The Horizon Group
January 5, 2015
Job Type


Compliance Monitoring Manager Job in Stamford Connecticut


Summary of Position:

The Compliance group (Manager) will be focused on the growing responsibilities related to our expanding compliance program as it relates to the activities of the bank’s commodities business and trading monitoring . Ongoing surveillance of Business Unit activity with specific emphasis on regulatory requirements of physical and exchange market regulators such as CFTC, FERC, NERC, and FTC, in addition to regionalized ISO/RTO marketplaces. Additional monitoring of trading activity for compliance with applicable Exchange-market regulatory requirements of NYMEX, ICE and other applicable exchange platforms. Work collaboratively with the bank’s operations teams along with Legal and Credit staff, to monitor and ensure compliance with internal Trading Guidelines and other internal compliance control requirements. Work with management to develop compliance goals and ongoing compliance initiatives.



  • Manage the purchase, development and implementation of electronic compliance monitoring and reporting system(s).
  • Provide a day to day compliance monitoring function for the commodity trading units to ensure compliance with all applicable trading and operational regulations.
  • Monitor futures, physical and financial trading activity to prevent and detect any non-compliant or abusive market behavior or operational practices
  • Assist with the development and implementation of effective surveillance and monitoring controls applicable to the business desks.
  • Daily compliance monitoring of the assigned Business Unit with specific emphasis on regulatory requirements of futures Exchanges such as NYMEX and ICE, and physical market regulators such as CFTC, FERC and FTC
  • Create swap reporting processes and controls as required by Dodd Frank and other regulatory requirements.
  • Monitor against compliance with internal and external trading guidelines and regulations.
  • Create oversight for cross firm organization monitoring on such issues as aggregated position limits, de minimis swap dealing
  • Assist with development of monitoring reports and review processes
  • Analyze trading activity (with a particular focus on physical markets regulation) to prevent and detect any non-compliant or abusive market activity or operational practices
  • Analyze market movements and monitor, analyze, and report ensure adherence to business unit limits on a daily basis
  • Oversee electronic regulatory reporting and filings in compliance with exchange and regulator rules
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