Compliance Advisor

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POST DATE 9/2/2016
END DATE 10/14/2016

ENGIE Houston, TX

Houston, TX
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #
Mid-Career (2 - 15 years)
Bachelors Degree


ENGIE is a global energy company, a leading provider of electricity, natural gas, and energy services. With 154,950 employees in more than 70 countries worldwide, ENGIE achieved revenue of 69.9 billion in 2015. ENGIE is committed to being a leader in the energy transition. We are looking for talented and motivated people to create the future of energy.

Join a rewarding and flexible work environment that encourages innovation and creativity, and help us meet the energy challenges of today and tomorrow.

The Role: Under general direction from the Director, Compliance, the Compliance Advisor will actively coordinate Compliance functions for the ENGIE Global Energy Markets US (GEM US) reporting scope. This includes managing the GEM US trade surveillance function to promote compliance with Exchange, CFTC, FERC, PUC, and ISO rules and regulations. Additionally, the Compliance Advisor will monitor GEM US compliance with the GEM US Compliance Program, comprised of internal policies and procedures designed to promote compliance with external regulatory rules and regulations. The Compliance Advisor supports the growth and development of the GEM US Market Compliance Program including development, implementation, and maintenance of policies, procedures, exception reporting, and training. The Compliance Advisor drives continuous improvement, coordinates projects across the organization, and leads working teams to accomplish goals while maintaining a system of internal controls. The Compliance Advisor coordinates the Companys response to requests for information that may be received from various regulatory entities.


* Monitoring compliance with all Exchange, CFTC (Dodd-Frank), FERC, PUC, and ISO rules and regulations, including anti-manipulation policies.

* Evaluation and documentation of exceptions identified through the GEM US trade surveillance program.

* Coordinating responses to inquiries and subpoenas from the regulatory agencies above.

* Maintaining all market regulatory policies and procedures.

* Demonstrating an active compliance program including KPIs, training, and monitoring.

* Working with business unit general counsel and business control staff, aggregate all regulatory reporting requirements pertaining to the CFTC, FERC, and PUCs.

* Catalog and monitor GEM US Regulatory Requirements.

* Develop internal documentation to demonstrate a robust internal compliance program to federal and state regulators.

* Engage consultants and other GEM personnel to monitor and implement changes necessary to meet evolving regulatory requirements.

* Acts as a team member with all employees of GEM US staff.

* Complies with all GEM US policies and procedures.

Knowledge in tools used for the job including but not limited to Aligne system of record, ICE Website, BARX Trading Platform, Adobe Acrobat, Microsoft Office, ICE Chat (Messenger), CME Clearport website, The GRID website, eConfirm website, Jefferies Bache (FCM) website, Newedge USA LLC (FCM) website, Nodal Exchange website, Trader Approval System (TAS), RGGI CO2 Allowance Tracking System, CAMD Business System (EPA), the Federal Register & website.


* Ability to meet highest attendance requirements

* Ability to communicate effectively, both written and verbally.

* Ability to handle multiple assignments on a timely basis with a high degree of accuracy.

* Ability to use personal computer, calculator, etc.

* Could involve some lifting.


* Bachelors Degree required in a related field.

* Seven to Ten years of relevant, progressively advancing energy industry experience with previous experience in regulatory filings.

* Knowledge of FERC, CFTC (including Dodd-Frank), Exchange and ISO rules. Expertise in use of Microsoft Excel and Aligne.

* Knowledge of the Master Agreements such as ISDA, EEI etc. Ability to communicate effectively with Credit, Middle Office, Legal, Front Office Personnel and external consultants.


Work environment characteristics described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is not exposed to weather conditions. The noise level in the work environment is usually moderate.