Compliance Financial Risk Senior Analyst

2 days left

Wayzata, MN
May 18, 2017
May 28, 2017
Contract Type
Full Time

Compliance Financial Risk Senior Analyst-WAY05691 Working at Cargill is an opportunity to thrive—a place to develop your career to the fullest while engaging in meaningful work that makes a positive impact around the globe. You will be proud to work for a company with a strong history of ethics and a purpose of nourishing people. We offer a diverse, supportive environment where you will grow personally and professionally as you learn from some of the most talented people in your field. With 150 years of experience Cargill provides food, agriculture, financial and industrial products and services to the world. We have 150,000 employees in 70 countries who are committed to feeding the world in a responsible way, reducing environmental impact and improving the communities where we live and work. Learn more at


Position Purpose

Responsible for execution of compliance activities for financial derivatives, Customer Price Risk Solutions, and Commodity Trading Advisory and for coordination of structuring activities under the direction of the FRM and Global Risk Services. This position will coordinate activities to comply with accounting, derivatives compliance, legal, tax, and regulatory requirements related to the type of solution and countries in the scope of the agreement in place, or related to structures for new business or new product offerings. This position will develop strong relationship with internal legal, compliance, tax, business, and finance contacts.

Principal Accountabilities


  • In coordination with the Global Risk Services and Financial Risk Management leads complete necessary CPRS PAF's.

  • Involve cross functional team as needed to implement structure/flow in accordance with the legal, tax, compliance, and accounting requirements.

  • Review marketing materials templates and draft appropriate disclaimers for other communications

  • Coordinate additional compliance activities upon changes from original structure / activity / flow as defined in PAF, changes in fee methodology, etc.


  • Coordinate registration of new AP's and complete checklist for AP's to start activity.

  • Review and assist in drafting Advisory Agreements

  • Assist in updating Disclosure Document as needed for CTA offerings

  • Assist in drafting and maintaining policies and procedures

  • Assist in SMARSH review of e-mails and IM's of assigned Associated Persons

  • Perform reviews as needed on various issues and address specific regulatory/tax questions, under direction of PRM leader and compliance advisor

  • Coordinate collection of tax certificates

  • Ensure all documents are kept for record keeping purposes (Advisory Agreements, D Doc acknowledgements, training certificates, etc)

  • Issue and amend SLA's as needed

  • Coordinate additional compliance activities related to changes to proposed advisory activity, fee arrangements and other terms, gross vs net tax agreements, etc


  • Monitor and ensure compliance with trading regulatory requirements (ie. CFTC, Dodd-Frank, etc). Perform required regulatory reporting.

  • Identify, coordinate, and assist delivering training as needed on the different areas subject to compliance with regulations.

  • Under the direction of the FRM and the Compliance function perform risk assessments and flag specific concerns.

  • Review customer agreements and involve Legal/Tax/Compliance input when needed. Coordinate additional compliance activities as needed (ie. Significant deviations from approved template, unusual terms, etc)

  • Maintain and manage required trade documentation and legal agreements.



  • Bachelor's Degree

  • 5 years of business, compliance, internal audit, or operations experience

  • Understanding of commodity markets

  • Self starter with a curious and inquisitive mind with proven ability to challenge and influence changes

  • Strong financial analysis skills

  • Ability to communicate effectively with many functional groups and levels - both written and orally.

  • Demonstrated ability to manage multiple priorities/projects effectively.

  • Demonstrated strong problem-solving and analytical skills.

  • Demonstrated ability to lead cross functional initiatives

  • Strong attention to detail.

  • Demonstrated understanding of and commitment to internal controls.


  • Derivatives experience

  • Internal Audit experience

  • Knowledge of corporate finance

  • Experience in drafting & reviewing transaction documentation.

Equal Opportunity Employer, including Disability/Vet.

Job Finance/Accounting

Primary Location US-MN-Wayzata

Schedule Full-time

Job Type Standard

Shift Day Job

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