Trading Surveillance Analyst - Houston, TX

Primary Purpose
Responsible for ensuring the Trade Surveillance system coverage and capabilities remain fit for purpose to meet regulatory requirements and internal risk assessments. The Trading Surveillance Analyst will maintain a prioritized backlog ensuring business stakeholders, compliance and risk managers are fully informed of the Trade Surveillance. Support the overall Trading Compliance Program to support the company's commitment to regulatory compliance.

Duties and Responsibilities

• Independently monitors daily power, natural gas, and renewable transactions across the organization to help ensure compliance with laws, regulations, and exchange rules; reviews any issues with trader(s) and/or trading desk(s) managers and escalates as necessary.
• Enhances, tests, and implements processes and tools to continuously improve the organizations monitoring capabilities and adapts the program to changes in the business and external laws and regulations; assists with the identification and creation of new surveillance reports.
• Monitors and analyze daily position limit production reports, and daily trading activities in the system.
• Keeping up-to-date with regulatory changes, internal policy updates, and disciplinary actions to determine that the monitoring system incorporates up-to-date techniques and addresses advanced market abuses.
• Ensure effective remediation of non-compliant situations within assigned areas, maintaining data repository and associated testing of effectiveness.
• Works with other Control functions to help ensure compliance with regulations and rules set by various external regulatory agencies.
• Assist in investigations of potential issues as necessary.
• Assist with the preparation of regulatory compliance reports and responses as required.
• Performs other duties as assigned (no more than 5% of duties).

Required Qualifications

• Bachelor's Degree in Mathematics, Statistics Finance, Economics, IT (Business Applications) or related field from a top tier program.
• 2+ years' experience in an Energy Trading Firm, or experience in a Market Compliance role or an equivalent market compliance role at an exchange, RTO/ISO or governmental regulatory oversight body.
• Strong, working understanding of Energy markets and products (Natural Gas and Power); experience with day-to-day operations, risk management and trading practices used in the industry and how such trading activities may interact to create the appearance of market manipulation or other market rule violations
• Written and verbal communication skills
• Excellent problem solving and critical thinking skills
• Understanding of internal controls
• Existing Surveillance experience in a financial/commodities markets context
• Hands-on experience and proficiency with data analysis and statistical modeling tools: SQL, Python, MS Power Query, Alteryx, Excel VBA, Power BI, Spotfire, etc.
• Working knowledge of commodities markets (especially natural gas) and common finance/risk management practices
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this
• Ability to interact with all levels of management in a professional and team-building manner
• Must be organized and able to meet deadlines
• Knowledge of OpenLink or similar ETRM software packages

Preferred Qualifications

• Demonstrated experience with the CFTC's Division of Enforcement and the FERC's Office of Enforcement and their views on market manipulation.
• Knowledge of commodities regulations.

HYBRID: Work a combination of onsite and remote days each week, typically 4 days per week onsite.

Risk Management

Full-time

Note: The Company strives to ensure that employees are paid equitably and competitively. Starting salaries may vary based on factors such as relevant experience, qualifications, and education.

Sempra Infrastructure offers a competitive total rewards package that goes beyond base salary. This position is eligible for an annual performance-based incentive (bonus) as well as merit-based recognition. Company benefits include health and welfare (medical, dental, vision), employer contributions to retirement benefits, life insurance, paid time off, as well as other company offerings such as tuition reimbursement, paid parental leave, and employee assistance programs.

Houston Center of Excellence-TXHS

Pay Range Pay Range

The estimated pay range for this job. Disclosing pay information promotes competitive and equitable pay.

The actual pay rate will depend on the person's qualifications and experience.

$86,100.00 - $129,200.00 / year

In order to support the Fair Compensation Strategy by the US Govt., HR Dept., clients are required to adhere to "Pay Transparency Law"; in the impacted states; that have mandated the employers to list the salary ranges in Job advertisements or postings for job opportunities and Job promotions.