Sr. Manager, Trading Compliance

Job Summary

Expand Energy is seeking a senior compliance leader to build, lead, and continuously enhance a fit-for-purpose regulatory trading compliance program for a growing energy trading organization. This role is designed for a small trading group, so the successful candidate must be able to operate strategically and tactically: set the compliance framework, advise leadership and the trading desk, and personally execute the critical activities required to maintain a robust and practical program.

This position will serve as the senior compliance lead for trading-related regulatory matters and will partner closely with Risk, Legal, Middle Office, Commercial, Internal Audit, and executive leadership. The role must balance commercial enablement with disciplined governance, surveillance, documentation, training, monitoring, and regulatory responsiveness.

Job Duties & Responsibilities

Regulatory Trading Compliance Program Leadership

• Design, implement, and maintain a fit-for-purpose regulatory trading compliance framework for Expand Energy’s trading activities.
• Establish compliance policies, standards, procedures, and controls appropriate for a small but growing energy trading business.
• Advise the CRO and senior leadership on compliance risk, regulatory developments, and program priorities.
• Build a practical compliance operating model that is credible with regulators and workable for a commercial trading organization.

Advisory to Trading and Business Leadership

• Provide day-to-day advisory support to traders, risk, middle office, and commercial leadership on applicable trading regulations, conduct expectations, and control requirements.
• Review new products, strategies, transactions, and business initiatives for compliance implications.
• Support business growth while ensuring appropriate governance, challenge, and escalation.

Monitoring, Surveillance, and Testing

• Oversee and execute trade surveillance, communication surveillance, and monitoring activities appropriate to the business model.
• Develop and run a risk-based compliance monitoring and testing plan.
• Identify control gaps, remediation actions, and thematic issues across trading compliance activities.
• Produce management reporting on surveillance outcomes, testing results, issues, and remediation progress.

Regulatory Change and Governance

• Track, assess, and implement regulatory change relevant to energy trading and related market activities.
• Maintain compliance inventories, obligations registers, procedures, and evidence required to support internal governance and external review.
• Lead or support regulatory inquiries, examinations, audits, and requests for information.
• Coordinate periodic reporting, attestations, and program reviews as required.

Investigations, Escalation, and Conduct

• Lead or support reviews of potential compliance breaches, employee conduct matters, and control failures related to trading activities.
• Ensure matters are escalated promptly and documented appropriately.
• Partner with Legal, HR, Risk, and leadership on investigations, corrective actions, and lessons learned.

Training and Culture

• Develop and deliver targeted compliance training for traders, schedulers, risk, middle office, and relevant support teams.
• Reinforce expected standards of conduct and effective challenge within the trading organization.
• Help build a culture where compliance is integrated into commercial decision-making, not treated as a back-end check.

Team Leadership

• Direct and develop one compliance team member.
• Set priorities, work plans, and performance expectations for the compliance function in line with business risk and regulatory exposure.

Job Specific Skills

• Significant experience in trading compliance, regulatory compliance, market conduct, surveillance, or compliance advisory within energy trading, commodities, banks, brokers, or merchant trading environments.
• Demonstrated experience building, leading, or materially enhancing a trading compliance program.
• Strong working knowledge of the regulatory framework applicable to energy and commodity trading activities.
• Ability to engage credibly with senior leadership, traders, risk, legal, and regulators.
• Strong judgment, independence, and ability to challenge constructively.
• Comfortable operating in a lean team where the senior leader remains hands-on.

Education

Minimum: Bachelor's degree from an accredited university

Preferred: MBA, advanced degree, or relevant professional certification

Experience

Minimum:

• 12 years in energy trading middle office / product control / risk
• Experience with core compliance activities for a smaller trading organization, including:
  • Policy and procedure development
  • Surveillance and monitoring
  • Compliance testing
  • Investigations and escalation
  • Training
  • Regulatory change management
  • Issue management and remediation
  • Governance reporting

Preferred:

• Experience in physical and financial energy trading environments, ideally including natural gas, LNG, power, or related commodities.
• Experience standing up or reshaping a compliance framework for a new or evolving trading business.
• Familiarity with trade surveillance, communications surveillance, and control environments in commodity trading organizations.
• Experience preparing senior management or board-level compliance reporting.