Aurex Group
Head of Compliance
Aurex Group - Houston, Texas, United States, 77246
Work at Aurex Group
Overview
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Overview
A leading energy trading firm is seeking a seasoned
Head of Compliance
to lead and evolve its compliance and surveillance function. This role will serve as a key member of the leadership team and will be responsible for designing, implementing, and overseeing the firm’s compliance strategy across all trading and operational activities. Key Responsibilities: Lead the development and execution of the firm's compliance and surveillance program, with a focus on commodity trading activities. Advise executive leadership on regulatory obligations, risk mitigation, and best practices related to market conduct and business operations. Monitor and interpret evolving regulatory landscapes affecting energy trading at the federal, state, and international levels. Oversee compliance training, policy development, internal reporting, and audit processes. Manage interactions with regulatory bodies and ensure timely and accurate responses to inquiries or examinations. Build and manage a growing compliance team as the organization continues to scale. Collaborate with front-office, risk, legal, and operations teams to embed compliance across the organization. Qualifications: Minimum of 10 years of relevant experience in compliance, with a strong background in physical and financial commodity trading. Deep understanding of applicable regulations and market practices (e.g., CFTC, FERC, NERC, ICE, CME, etc.). Prior experience designing or enhancing compliance and trade surveillance frameworks. Proven ability to operate in a dynamic, fast-paced environment with a hands-on and strategic mindset. Excellent leadership, communication, and stakeholder management skills.
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Head of Compliance
to lead and evolve its compliance and surveillance function. This role will serve as a key member of the leadership team and will be responsible for designing, implementing, and overseeing the firm’s compliance strategy across all trading and operational activities. Key Responsibilities: Lead the development and execution of the firm's compliance and surveillance program, with a focus on commodity trading activities. Advise executive leadership on regulatory obligations, risk mitigation, and best practices related to market conduct and business operations. Monitor and interpret evolving regulatory landscapes affecting energy trading at the federal, state, and international levels. Oversee compliance training, policy development, internal reporting, and audit processes. Manage interactions with regulatory bodies and ensure timely and accurate responses to inquiries or examinations. Build and manage a growing compliance team as the organization continues to scale. Collaborate with front-office, risk, legal, and operations teams to embed compliance across the organization. Qualifications: Minimum of 10 years of relevant experience in compliance, with a strong background in physical and financial commodity trading. Deep understanding of applicable regulations and market practices (e.g., CFTC, FERC, NERC, ICE, CME, etc.). Prior experience designing or enhancing compliance and trade surveillance frameworks. Proven ability to operate in a dynamic, fast-paced environment with a hands-on and strategic mindset. Excellent leadership, communication, and stakeholder management skills.
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