Compliance Advisory, Swap Dealer – VP

Full Time

International Banking Client

Office Status: Hybrid

Salary: $175,000 – $185,000

Responsibilities:

  • Responsible for providing regulatory and compliance advice to business stakeholders, developing and providing training, and delivering on key initiatives impacting the Firm. Additional responsibilities will include:
  • Advise the business regarding regulatory requirements, internal policies and procedures, and compliance processes.
  • Collaborate with Compliance, Legal, Business Controls and other control function colleagues to enhance the overall Compliance program.
  • Escalate compliance-related matters that require input and or action from other internal stakeholders, including business line, Risk Management or other compliance colleagues.
  • Participate in business line project and initiative meetings, including new business initiatives
  • Participate in periodic meetings and open discussions with business partners to provide support and address compliance and risk concerns
  • Assist in the development, review, and updating of compliance policies and procedures to help ensure regulatory obligations.
  • Assist business partners to address new and/or modified regulatory requirements and ensure applicable policies and procedures are updated to reflect changes.
  • Provide subject matter support to Compliance teams and processes (e.g., Compliance Risk Assessment and Monitoring and Testing routines)
  • Assist in developing and delivering business line training content to meet regulatory and business requirements.
  • Maintain an objective and independent perspective and offer consistent compliance interpretations to first-line personnel.
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