Senior Compliance Officer - ABC

Gunvor Group•Houston, TX

1d•Onsite

About The Position

The Senior Compliance Officer will report to the Regional Head of ABC Compliance, Americas with responsibility for administering the policies, procedures, and controls that make up the ABC Compliance framework. The position sits in the Ethics & Sustainability Department, under the Global Head of Ethics & Sustainability, and ultimately the Chief Legal Officer. The Senior Compliance Officer will have responsibility for implementing and administering key controls related to counterparty due diligence, anti-bribery and corruption procedures, and anti-money laundering procedures, as well as identifying, analyzing, and mitigating risk, ensuring adherence to anti-corruption and anti-money laundering regulations, conducting / contributing to risk assessments. The Senior Compliance Officer role requires a compliance background, preferably with experience in commodity trading, the financial services / banking industry, or experience working with institutions or regulators with responsibility for conducting complex due diligence and / or fact investigations, risk assessments, and designing risk mitigation strategies. Candidates should have excellent analytical, communication, and leadership skills, be detail-oriented, and be adept at managing a fast-paced, diverse workload. The Senior Compliance Officer supports the Anti-Bribery and Corruption Compliance function in both the day-to-day analysis of counterparties and other business needs, as well as implementing, testing, monitoring, and enhancing the ABC framework and the implementation and maintenance of the Anti-bribery framework. This is a Group-level position based in Houston with a regional reporting line and primary responsibility for supporting ABC Compliance activities across the Americas. The role will also participate in global compliance projects and strategic initiatives where there is an Americas nexus, ensuring regional considerations are appropriately incorporated into Group-wide compliance efforts.

Requirements

Undergraduate degree from an accredited university.
7-10+ years compliance experience preferably in the commodity trading business, with an oil major, or within the financial services / banking industry.
Alternatively, experience conducting complex due diligence reviews or investigation in the banking sector, legal sector, on behalf of a regulator, or with due diligence services providers.
Experience working in a highly dynamic, fast-paced environment.
Experience with simultaneously managing multiple projects for different stakeholders.
Demonstrable knowledge of international ABC and AML laws, regulations, and compliance best practices.
Strong KYC and due diligence expertise to be able to guide junior team members, handle escalations and perform quality checks.
Excellent organizational and analytical skills with attention to detail.
Candidate should be rigorous, process driven and goal oriented.
Proven communication and presentation skills, with the ability to communicate and conduct training at all levels of the company, and to interact with trading desks and management of the company.
Strong internal control orientation.
Ability to support in developing a compliance culture within a company.
Experience working with remote teams.
A team player willing to support others in achieving our common goals.
Ability to work independently and efficiently and to self-manage competing projects and deadlines.
Stress tolerant and pro-active, comfortable with problem solving and a quick learner with the ability to adapt to changes with optimism.
Ability to travel at a moderate frequency.
Fluent in English, written and oral (other languages are a plus, particularly Spanish and/or Portuguese)

Nice To Haves

Compliance, CAMS, CFCS, or similar certifications are a plus.

Responsibilities

Serving as a primary point of contact for providing ABC compliance support and guidance to the front office operating in North America.
Providing focused in-person and remote ABC compliance support (in partnership with the ABC Team) in the Americas business regions, – as well as supporting ABC Compliance Team work and initiatives globally.
Implementing and administering of the ABC Compliance Framework.
Risk identification, assessment, and the development of risk mitigation controls and strategies.
Leading, overseeing, and conducting due diligence counterparty reviews, including to: Provide support and respond to escalations from more junior compliance analysts. Perform quality checks on due diligence performed by other team members and provided relevant feedback.
Conducting due diligence on high risk and other complex counterparties (e.g. related to M&A or joint-ventures).
Assisting with guiding, supervising, and providing feedback to junior team members.
Contributing to testing and monitoring efforts over the effectiveness of the ABC Compliance controls.
Monitoring the ABC legal and reputational landscape, as well as industry reputational risk elements, to advise on adherence of the Company’s operations, procedures, systems to such obligations and risk considerations.
Assisting the Regional Head of ABC Compliance, Americas and the Global Head of Ethics & Sustainability with the execution of strategic projects, such as special reviews or control enhancement projects, to maintain a robust and effective ABC Compliance program.
Executing required ABC controls on relevant areas of the business (e.g. business development controls) and implementing corrective action plans for resolution of non-adherence with relevant controls, and providing general guidance and education on how to avoid or deal with similar situations in the future.
Contributing to the design and administration of the ABC Compliance training curriculum.
Supporting in cross-jurisdictional initiatives or cross-departmental projects (e.g. HR, Legal, Finance or Internal Audit) that arise related to the prevention, mitigation, and detection of ABC compliance risks.