Head Of Dodd-Frank Compliance

Full Time

International Bank

Office Status: Hybrid

Your Key Responsibilities:

  • Develop, coach and lead Swap Dealer Compliance team members; drive, steer and provide thought leadership for the Swap Dealer and Security Based Swap Dealer Compliance programs from both a run-the-bank and continuous improvement perspective
  • Chair the Title VII Forum and Title VII Compliance Practice Group
  • With support from team and other stakeholders, steer agenda, materials development and execution for the SBS Council
  • Along with the Swap Dealer and Security Based Swap Dealer CCO, serve as a key point of contact for and interface with CFTC, SEC, NFA and SROs; oversee and lead CFTC, SEC, NFA and SRO examinations
  • Oversee, draft and review responses to Swap Dealer and Security Based Swap Dealer regulatory inquiries
  • Oversee and participate in the ongoing maintenance and refinement of the firm’s Swap Dealer and Security Based Swap Dealer Manuals and other Title VII policies and procedures
  • Oversee, draft, review and distribute formal compliance alerts or informal notes with respect to the Swap Dealer and Security Based Swap Dealer
  • Oversee, develop and conduct training related to the Swap Dealer and Security Based Swap Dealer compliance programs
  • Oversee, draft, review and provide thought leadership for annual Swap Dealer and Security Based Swap Dealer risk assessments, including both Swap Dealer Compliance risk assessments and Business Line Compliance risk assessments in consideration of Title VII rules
  • Maintain overall responsibility for Swap Dealer Compliance contributions to the firm’s Annual Compliance Reports
  • Maintain overall responsibility for periodic filings (e.g., NFA Annual Questionnaire) in partnership with Compliance Registrations team
  • With support from team and other stakeholders, steer agenda, materials development and execution for the Volcker Council
  • Oversee the execution of the Volcker CEO Attestation and sub-attestation program
  • Work with stakeholders to implement Volcker Rule requirements and maintain a robust Volcker Enterprise Compliance Program (ECP) across the ECP pillars (policies and procedures, internal controls, management framework, independent testing, training, and records)
  • Partner with Business Line Compliance (BLC) colleagues globally to ensure a consistent approach to Volcker interpretation and compliance
  • Oversee and participate in the ongoing maintenance and refinement of the firm’s Volcker Manual and other Volcker program policies and procedures
  • Oversee the creation and management of action plans for the various Compliance deliverables associated with the Volcker Rule
  • Oversee, develop and conduct Volcker Rule training
  • Maintain overall responsibility for Volcker Compliance contributions to the firm’s Annual Compliance Reports

Your Skills and Experience:

  • Bachelor’s degree
  • Derivatives, Securities and/or Banking legal, regulatory and/or compliance experience, preferably within an investment bank
  • Experience leading teams
  • Strong knowledge of and experience with Dodd-Frank (Swap Dealer mandatory; Security Based Swap Dealer and/or Volcker, a plus)
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