Compliance Advisory, Swap Dealer – VP

Office Status: Hybrid (3 days per week)

Salary: $175,000 – $185,000

Responsibilities:

• Provide regulatory and compliance advice to business stakeholders, develop and provide training, and deliver 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.