Brokerage And Swap Dealer Compliance Testing VP

Full Time

Job Function:

Our client; a Global Bank with US HQ in New York; seeks a Compliance Testing VP for their Broker Dealer.

The Brokerage and Swap Dealer Compliance Testing VP will perform the assigned functions, as outlined below, and conduct compliance testing and monitoring across various lines of business, securities offices, capital markets offices and operating departments
The VP’s day to day responsibilities will:
• Perform compliance testing and monitoring, identify issues, make recommendations and report the result to the management team
• Track the issues and the status of remediation
• Identify key risks and controls on themes tested
• Participate in risk assessment discussions
• Analyze the entities’ compliance status and compliance framework
• Review compliance program, participate in Compliance Committee, review external/internal exam/audit reports, etc.
• Function as a liaison with the Head Office and the entities
• Provide training and guidance to the Compliance Officers and the business where applicable
• Responsibilities exclude Anti-Money Laundering


•Eligible to work in the US
•Bachelor’s degree
•JD, Bar, CPA or equivalent professional qualification
•Minimum 3 years of compliance testing or audit experience
•3+ years of work experience in Investment Bank and Capital Markets business
•Knowledge or Background of Dodd-Frank Act, Securities Exchange Act, Commodity Exchange Act and the CFTC and SEC Regulations, and FINRA and NFA Rules
•Swap related experience or background
•Series 7 and Series 24 required or the ability to obtain the Series 7 and 24 within the first 6 months of employment
•Experience with FX and Interest Rate markets (cash, and listed and OTC derivatives) a plus. Equity derivatives a plus.
•Canada and Latin America experience a plus
•Broad working knowledge of laws and regulations related to areas of assignment
•Demonstrated ability to develop test plans and independently coordinate and complete testing in a timely manner
•Strong Critical Thinking and Problem Solving Skills
•Ability to work cooperatively with other members of the team and the department
•Ability to analyze complex laws and regulations
•Quick and accurate reading comprehension
•Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
•Ability to influence others’ actions and decisions without express of authority
•Proficiency in Microsoft Office Suite and other utility applications (e.g., Adobe Acrobat, PowerPoint, and Excel)

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