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Commodity Products Compliance Officer Compliance Consultant 5

Houston, TX

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At **MEMBERS ONLY**SIGN UP NOW***., we have one goal: to satisfy our customers’ financial needs and help them achieve their dreams. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.
Help us build a better **MEMBERS ONLY**SIGN UP NOW***.. It all begins with outstanding talent. It all begins with you.
Wholesale Banking provides financial solutions to businesses across the United States and globally. Our nine major business lines include Business Banking, Middle Market Banking, Government and Institutional Banking, Corporate Banking, Commercial Real Estate, Financial Institutions Group, **MEMBERS ONLY**SIGN UP NOW***. Commercial Capital, **MEMBERS ONLY**SIGN UP NOW***. Securities, and the Investment Portfolio. We also have groups in credit risk, group risk, finance, marketing, human relations, and the Wholesale Chief Operating Office that support our businesses.
**MEMBERS ONLY**SIGN UP NOW***. Securities
This position provides support for the compliance needs of the Commodity Products Group (“CPG”). This position will be responsible for the swaps and futures activities transacted out of the swap dealer, primarily regulated by the CFTC and the OCC, and the physical products and futures transacted out of **MEMBERS ONLY**SIGN UP NOW***. Commodities, LLC, primarily regulated by the Federal Reserve and the Federal Energy Regulatory Commission.
Primary responsibilities will include ensuring that the existing compliance program remains tightly controlled and well documented. Additionally, this new team member will be able to assist with improving the controls related to regulatory reporting, surveillance, position reporting, training, and management reporting, among other items.
The role will require extensive knowledge of commodity trading activities, industry regulations, and trading/booking/reporting technology for physical commodities trading, futures, and swaps, and the ability to reconcile corporate policies and standards to existing compliance programs. This role will look at transactions across legal entities, regulatory authorities, and asset classes. The Compliance Officer in this role will assist on projects defined by compliance management and be a subject matter expert on a portfolio of key issues, programs, and systems.
Key factors for success include a facility for conducting independent research, preparing written analysis of regulations, policies, and industry best practices, and communicating analysis and recommendations to management. The role requires coordination and cooperation between individuals within the Compliance Department and WFS lines of business. Also required are strong communication skills, utilization of appropriate forms of communication and escalation, and ease with managing conflicts to achieve objectives.
Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following, and adhering to and if applicable **MEMBERS ONLY**SIGN UP NOW***. policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.
Required Qualifications:
10 years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 10 years of IT systems security, business process management or financial services industry experience, of which 5 years must include direct experience in compliance, operational risk management, or a combination of both
Desired Qualifications:
Advanced Microsoft Office skills
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Ability to interact with all levels of an organization
How to Express Interest in This Job: **MEMBERS ONLY**SIGN UP NOW***. invites you to apply for this job at ****NW/HRMS/c/HRS
All offers for employment with **MEMBERS ONLY**SIGN UP NOW***. are contingent upon the candidate having successfully completed a criminal background check. **MEMBERS ONLY**SIGN UP NOW***. will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women.
**MEMBERS ONLY**SIGN UP NOW***. is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.
Relevant military experience is considered for veterans and transitioning service men and women.
**MEMBERS ONLY**SIGN UP NOW***. is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

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