Senior Compliance Officer - ABC

Job Title

Senior Compliance Officer

Permanent

Houston

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 counter party 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 counter parties 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.

• 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 counter party 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 counter parties (e.g. 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…