Senior Trading Compliance Specialist

Summary

CHS has an exciting opportunity in the Trading Compliance group of our Legal, Government, Compliance, and Audit organization. We are looking for a Sr. Trading Compliance Specialist to join our team in Inver Grove Heights, MN. This role will be responsible for helping empower CHS to compete with integrity and confidence in the highly complex and regulated global marketplace that CHS encounters each day through daily operational and tactical support. This role will ensure the company’s trading conduct and compliance risks are identified and understood, and that surveillance programs are robust and right sized to address the inherent risk of trading, as well as comply with all regulatory requirements and internal policies.  In addition, this role will obtain, validate, and aggregate business unit information to support potential regulatory inquiries. We are looking for a self-motivated candidate with a deep understanding and knowledge of financial and physical agricultural and/or energy commodity markets and products, including futures, options, and swaps. You must possess strong analytical skills and communications skills and understand how the regulatory environment impacts business operations.

Responsibilities

Surveillance Program Management
⦁    Continuously enhance surveillance mechanisms and parameters for system generated alerts and monitor system performance.  Includes performing regulatory change and risk impact assessments to facilitate ongoing adherence to applicable laws, rules, and regulations as well as internal policies and standards. Stay abreast of relevant changes to rules/regulations and other industry news including regulatory findings; providing knowledge to the rest of Trading Compliance for continuous education and best practices when conducting surveillance.
⦁    Create, enhance and implement surveillance scenarios and conduct surveillance reviews. Improve surveillance tools and applications by coordinating with Information Technology on the timely implementation of enhancements, required updates due to business process or system changes, and proactively address potential functionality implications.
⦁    Define metrics for monitoring activities measuring compliance team performance in analyzing and addressing compliance-related matters.
⦁    Lead day-to-day oversight and monitoring of Company’s trading activity within trade surveillance platform. 

Analyzing/Monitoring/Reporting
⦁    Obtain and validate information from business units for regulatory reporting purposes. Gather, analyze, and prepare responses to regulators and exchanges. Gather, analyze, and respond to requests for information from CHS Compliance and Integrity leadership.
⦁    Assist with trading compliance-related questions from business units and escalate to Derivatives Trading Compliance Manager when needed. Partner with business units to address issues and assist in the rollout of new business products and/or initiatives. Help identify, develop, and drive solutions/strategies to issues faced by the businesses and the necessary controls around any change.
⦁    Monitor trading activity for compliance to internal trading compliance policies and participate in audits or investigations as required. Gather and review materials for response to Exchange inquiry/document requests. Escalate any concerns to Derivatives Trading Compliance Manager as needed. 
Compliance Education and Communication Development
⦁    Assist Derivatives Trading Compliance Manager in ensuring all relevant personnel receive adequate training on regulations and rules, as well as policies that support compliance with the rules.
⦁    Development and rollout of education & learning courses for the business regarding Commodity Interests and related cash or forward transactions.

Research and Program Management Enhancement
⦁    Maintain professional and technical knowledge by attending educational workshops, reviewing professional and/or regulatory publications, establishing personal networks, benchmarking state-of-the-art practices, and participating in professional societies.
⦁    Identify and support areas for automated process improvements within the business units and trading compliance. Strategic Projects
⦁    Participate on strategic projects that are focused on enhancing trading compliance programs. Assist in non­ derivatives trading compliance activities at the direction of the Trading Compliance and New Products Risk Director.
⦁    Support the business through implementing enhancements for business programs and technology solutions as part of a comprehensive trading and compliance program.
⦁    Partner with IT department to ensure business applications and systems effectively support CHS compliance and regulatory requirements.

Minimum Qualifications (required)

⦁    High School diploma or GED
⦁    Bachelor's Degree in finance, accounting, economics, business or related areas of study preferred.
⦁    4+ years of experience in commodity risk management in one or more of the following areas: Commodity trading, commodity execution, commodity risk management, or trading compliance.
⦁    Experience with surveillance tools/monitoring applications, case management, and data/system integrations.
⦁    Excellent research and analytical skills.
⦁    Excellent written and verbal communications skills.
⦁    Strong interpersonal skills with the ability to work collaboratively with people at all levels of the organization.
⦁    Adaptable to change and able to prioritize multiple demands under pressure.
⦁    Ability to assess and understand complex situations presented by the business and provide appropriate compliance guidance/solutions.
⦁    Demonstrated experience and proficiency with interpreting and communicating complex regulatory requirements to business partners.
⦁    Ability to quickly learn and understand complex organizational structure.
⦁    Able to work effectively and meet goals both as part of a team and independently.

Additional Qualifications

⦁    High School diploma or GED
⦁    Bachelor's Degree in finance, accounting, economics, business or related areas of study preferred.
⦁    4+ years of experience in commodity risk management in one or more of the following areas: Commodity trading, commodity execution, commodity risk management, or trading compliance.
⦁    Experience with surveillance tools/monitoring applications, case management, and data/system integrations.
⦁    Excellent research and analytical skills.
⦁    Excellent written and verbal communications skills.
⦁    Strong interpersonal skills with the ability to work collaboratively with people at all levels of the organization.
⦁    Adaptable to change and able to prioritize multiple demands under pressure.
⦁    Ability to assess and understand complex situations presented by the business and provide appropriate compliance guidance/solutions.
⦁    Demonstrated experience and proficiency with interpreting and communicating complex regulatory requirements to business partners.
⦁    Ability to quickly learn and understand complex organizational structure.
⦁    Able to work effectively and meet goals both as part of a team and independently.

• Pre-employment screening is based on the job requirements and industry guidelines and may or may not be required for the position. If required, selected candidates must pass pre-employment screenings to include all or a combination of drug, criminal, motor vehicle check, physical requirements and FMSCA Clearinghouse

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