Chief Compliance Officer, Energy & Commodities

Cantor Fitzgerald; Houston (TX); On-site; USD 150,000 - 200,000; Full time

Benefits offered by this job

Competitive salary

Health, vision, and dental insurance

401(k) retirement plan

Paid time off

Job summary

A global financial services firm located in Houston is seeking a Chief Compliance Officer for their Energy and Commodities Brokerage business. The ideal candidate will have at least 10 years of relevant experience in compliance, focusing on derivatives or securities. This role involves designing compliance programs, engaging with senior management, and preparing for regulatory inquiries. The firm offers a competitive salary, benefits, and potential for bonuses. Candidates should possess strong communication skills and a solid understanding of compliance requirements.

Qualifications

• At least 10 years of compliance, legal, risk, or audit experience focused on derivatives or securities.
• Experience with governance and annual CCO reporting processes.
• Strong project management and organization skills.

Responsibilities

• Run compliance for the firm’s Energy and Commodities Brokerage business.
• Design and execute compliance testing and ongoing monitoring.
• Serve as a point of contact for regulatory exams and inquiries.

Skills

Strong understanding of business conduct standards

Proficient in risk management program requirements

Excellent written and verbal communication skills

Detail orientation with synthetic abilities

Structured problem-solving skills

Education

Bachelor’s degree

Advanced degree or recognized compliance credential

Tools

Reporting/surveillance tools

Data analysis tools

Job description

A global financial services firm located in Houston is seeking a Chief Compliance Officer for their Energy and Commodities Brokerage business. The ideal candidate will have at least 10 years of relevant experience in compliance, focusing on derivatives or securities. This role involves designing compliance programs, engaging with senior management, and preparing for regulatory inquiries. The firm offers a competitive salary, benefits, and potential for bonuses. Candidates should possess strong communication skills and a solid understanding of compliance requirements.