- Help to implement, oversee and edit policies, procedures, processes and controls to ensure compliance with all applicable regulations including training and educating business unit employees
- Assist Business Unit with management all aspects of SOX compliance - narrative understanding and editing, documentation of controls, participation and support of testing, meeting with internal and external audit, review of possible deficiencies, IT remediation, etc.
- Monitor trading activity, business unit processes and procedures, and required reporting obligations to ensure compliance with FERC and/or CFTC regulations by analyzing data, building/modifying reports, and/or running queries (this includes monitoring and tracking trading exceptions to our policies)
- Liaise with NEE General Counsel, NEE Internal Audit, our external audit partners, NEE Corporate Responsibility Office (CRO), Federal Regulatory Affairs (FRA), other Trading Risk Management groups and commercial groups
- Develop and/or execute processes that ultimately review trade and communications data for activity that may appear manipulative in nature and be able to assess when to escalate suspicious behavior (Anti-Market Manipulation)
- Prepare annual compliance reports required by internal management or any of the business units' regulatory agencies
- Help with applicable CFTC risk assessments, rule impact analysis, testing controls, etc.
- Assist in gathering and analyzing compliance metrics and reporting to senior management
- As needed, work with IT to provide guidance on required enhancements to system functionality, assist in testing compliance functionality, prioritization of tasks, and ensure projects are delivered on time to adhere to compliance deadlines. This may include doing deep dives into Power BI report building, SQL and Power Automate.
- Keep Director and VP within Trading Risk Management apprised of all efforts supporting above areas
- Complete ad hoc projects as assigned
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Trading Compliance Analyst - Juno Beach, United States - NextEra Energy, Inc
Description
Requisition ID: 77639NextEra Energy Marketing is one of the nation's leading electricity and natural gas marketers.
We are responsible for electricity and fuel management for all of NextEra Energy Resources' generation fleet, which includes the largest renewable energy portfolio in North America.
We also provide marketing and trading services to electric and gas utilities, municipalities, cooperatives and other load-serving entities, as well as to owners of electric generation facilities.
Are you interested in customizing power and gas solutions to meet each client's needs? Join our world-class team todayPosition Specific Description
Support the compliance team and Director Trade Compliance with the coordination of all of NEER's SOX, CFTC, FERC (or other regulatory agencies as required) compliance activities, both internally and externally, as needed.
The mission of the role is to assist the Business Unit in ensuring compliance with all applicable SOX, CFTC and FERC requirements by working directly with NEER Business Units to implement and maintain a sustainable culture of compliance.
Responsibilities include, but are not limited to:
