Compliance Monitoring & Testing – Swap Dealer Compliance Vice President

International bank located in Midtown Manhattan looking to bring on board a “Compliance Advisory, Swap Dealer – VP” to join their team. This role is currently operating under a hybrid schedule (1 day in office per week).

Responsibilities:

• • Serves as the examiner-in-charge responsible for all facets of compliance M&T engagements.
  • Assists in the development and refinement of M&T monitoring scripts.
  • Prepares information requests and announcement memoranda.
  •Performs assigned field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments.
  • Performs Control Design Effectiveness analysis and review of the applicable rules and regulations.
  • Ensures that cohesive work papers are prepared for each engagement in accordance with department standards.
• Identifies underlying issues and escalation / validation thereof with stakeholders.
  • Drafts issue memoranda and reports for issuance to management.
  •Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts.
  • Stays abreast of changing regulatory requirements and the business model to maintain a solid foundation of the applicable regulatory framework.
  • Participates in the annual risk assessment process of applicable laws and regulations.