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Compliance Monitoring & Testing – Swap Dealer Compliance Vice President

  • NYC
  • Full Time

Apply for the Compliance Monitoring & Testing – Swap Dealer Compliance Vice President position

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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).


  • • 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.