Trade Compliance Manager

NextEra Energy • Houston, TX

21h

About The Position

The Trade Compliance Manager coordinates NEER’s compliance initiatives regarding SOX, CFTC, and FERC activities across business units. The role supports the compliance team and Director of Trade Compliance in coordinating internal and external compliance activities, helping business units meet applicable regulatory requirements, and building a sustainable culture of compliance. The manager executes and oversees compliance strategies, provides guidance to the compliance team, and drives process improvements and strategic initiatives with minimal oversight.

The position works with business units and internal and external stakeholders to implement and maintain compliance policies, controls, training, reporting, and monitoring processes. It also analyzes trading activity and related data for compliance concerns, assesses potential suspicious behavior for escalation, supports audits and regulatory risk assessments, and coordinates with IT on compliance-related system enhancements and deadlines.

Requirements

• Bachelor’s degree in Finance, Business Management, or a related field.
• Minimum 8+ years of experience.
• Minimum 1–2+ years in a leadership role.

Responsibilities

• Help implement, oversee, and edit policies, procedures, processes, and controls to ensure compliance with applicable regulations, including training and educating business unit employees.
• Assist business units with all aspects of SOX compliance, including understanding and editing narratives, documenting controls, supporting testing, meeting with internal and external audit, reviewing possible deficiencies, and supporting IT remediation.
• Monitor trading activity, business unit processes and procedures, and reporting obligations for compliance with FERC and/or CFTC regulations by analyzing data, building or modifying reports, and running queries; monitor and track trading exceptions to policies.
• Liaise with NEE General Counsel, NEE Internal Audit, external audit partners, NEE Corporate Responsibility Office, Federal Regulatory Affairs, other Trading Risk Management groups, and commercial groups.
• Develop or execute processes to review trade and communications data for potentially manipulative activity and assess when suspicious behavior should be escalated.
• Prepare annual compliance reports required by internal management or business-unit regulatory agencies.
• Assist with applicable CFTC risk assessments, rule impact analysis, and control testing.
• Gather and analyze compliance metrics and report them to senior management.
• Work with IT as needed to guide system-functionality enhancements, assist with compliance-functionality testing, prioritize tasks, and ensure projects meet compliance deadlines; this may include Power BI report building, SQL, and Power Automate.
• Keep the Director and VP within Trading Risk Management apprised of efforts supporting the compliance areas.
• Implement and improve policies to ensure regulatory compliance.
• Lead the management of SOX compliance efforts and processes.
• Supervise compliance analysts and provide guidance and performance feedback.
• Develop strategic initiatives and compliance policies for trade compliance.
• Serve as lead liaison between Trading Risk Management and external stakeholders.
• Analyze trading activities for compliance with FERC and CFTC regulations.
• Monitor compliance metrics and prepare reports for senior executive review.
• Facilitate and participate in key compliance-related decision making.
• Complete ad hoc projects and other job-related duties as assigned.

Benefits

• NextEra Energy offers a wide range of benefits to support employees and their eligible family members; specific benefits are not listed in the job description.
• Relocation provided if applicable.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager