Head of Energy Compliance, Americas - Director

As the Head of Fixed Income & Currencies (FIC) Energy Compliance, Americas, you will provide real-time support and challenge to the FIC Energy businesses within the Investment Bank (IB). Your role will involve implementing Compliance frameworks for the Energy business, including providing check and challenge to new business initiatives. You will provide guidance and guardrails on issues related to structuring, sales and trading activities, surveillance and monitoring of controls, supervision, and other matters that are typical for a large global investment bank. The FIC business is currently expanding its Energy business into new products and new markets, and you would be an integral part of establishing that business in a controlled manner. You will provide real-time input to the FIC Energy businesses; understand regulatory and venue regulations and requirements, identify regulatory trends and developments that impact business areas and advise staff and business leadership as to how this may impact their current and proposed activities., * Communicate requirements to business areas on Firm policies and procedures and applicable securities laws and regulations; draft, update, and implement relevant policies and procedures

• Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulators as well as Regional Transmission Organization/Independent System Operator representatives and self-regulatory arms of exchanges and venues
• Coordinate with Compliance colleagues in Testing and Surveillance on oversight activities to monitor for compliance with Firm policies and conduct risk assessments of the Business to ensure effective business control framework

How You’ll Lead

• While the role is an Americas role, you will be a senior and integral contributor to the build-out of and controls for a global business and where relevant provide expertise across regions in coordination with colleagues in Europe and Asia in addition to the Americas
• Member of the Investment Bank Compliance, Americas, management team
• Manage relationships with senior leadership within the FIC Energy business, Control functions in the first line of defense, infrastructure partners and with control partners in the second line of defense

• Strong energy and derivatives regulatory experience, preferably in a global investment bank or energy firm

• Significant experience with energy products (including a mix of power, natural gas, emissions and oil and oil products)

• Bachelor’s degree or equivalent; JD or MBA a plus

• Functional knowledge of the US fixed income and derivative trading regulatory framework, as well as FERC regulations as well as industry best practices. Familiarity with securities regulation, aspects of prudential regulation applicable to sales and trading businesses, and Financial Industry Regulatory Authority expectations would be a plus

• Relevant experience providing compliance or legal coverage to a sales or trading desk at an investment bank or energy company

• Proven ability to leverage AI tools to enhance productivity, optimize workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs

Skills That Will Help You Excel

• Excellent communication skills, both written and spoken

• Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment

• Ability to project confidence and professionalism in dealings with senior business personnel

• Desire to lead and develop junior staff

• A diverse and inclusive environment that embraces change, innovation, and collaboration
• A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
• Educational resources, matching gift and volunteer programs

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