DRW is a technology-driven, diversified principal trading firm. We trade our own capital at our own risk, across a broad range of asset classes, instruments and strategies, in financial markets around the world. As the markets have evolved over the past 25 years, so has DRW – maximizing opportunities to include real estate, cryptoassets and venture capital. With over 1000 employees at our Chicago headquarters and offices around the world, we work together to solve complex problems, challenge consensus and deliver meaningful results. It’s a place of high expectations, deep curiosity and thoughtful collaboration.
As the Energy Compliance Officer, you’ll lead the oversight of all energy trading including US crude, refined products and natural gas compliance encompassing the surveillance, monitoring, development and enforcement of compliance policy and procedures, and providing compliance education and advice to internal trading businesses.
What you will do:
- Assist in the development, implementation and monitoring of compliance policies, procedures and internal controls that comply with all relevant standards of market conduct
- Assist with monitoring of trade execution; provide compliance oversight of the trade execution function
- Address day-to-day compliance-related questions regarding trades, trading strategies, the application of technology to trading methodologies, pricing and valuation, and back-office operations
- Monitor and report on the effectiveness of policies and procedures of department; recommend and implement enhancements and changes as needed
- Conduct surveillance reviews and trade desk audits
- Liaise with designated contact markets and regulatory agencies
- Manage special compliance projects such as due diligence reviews or new product initiatives
- Track relevant regulatory and trading developments and provide impact assessments
- Assist in the ongoing enhancement and implementation of compliance training programs
What is needed in this role:
- 10-15 years of financial markets compliance experience required
- Must have strong knowledge of Energy Markets, Dodd-Frank and U.S. Futures regulation
- Working knowledge of FERC statutes, rules, and orders is a plus
- Experience at an exchange or regulator required
- Ability to effectively communicate at all levels within the organization
- Must have strong business acumen and the analytical and problem solving skills necessary to identify trends and root issues, and to recommend solutions that support the company’s business objectives
- Must have strong organizational and presentation skills and a professional demeanor
- Must have excellent written and verbal communication skills
- Bachelor’s degree required
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