International Banking Client
Office Status: Hybrid (2-3 days per week in office)
Salary: $120,000 – $190,000
Responsibilities:
- Assisting the SD CCO in administering a Swap Dealer Compliance program
- Advising Sales and Trading and related Operations teams on CFTC swap regulations involving Foreign Exchange and Interest Rate derivatives
- Advising Sales and Trading and related Operations teams on SEC Security-Based Swap regulations
- Performing root cause analysis, applicability and control reviews and risk assessments
- Helping maintain written policies and procedures of swaps and security-based swaps
- Contributing to internal reports (e.g., management committees and the Board)
- Working closely with impacted business units and risk & support functions regarding potential and actual changes in CFTC, NFA and SEC rules, regulations and interpretive guidance
- Leading the implementation of new / amended rules and regulations
- Working with Americas Compliance Testing and Internal Audit of the Americas to ensure compliance testing is appropriate based on the level of risk
- Liaising with the Surveillance Team on disposition of alerts related to communications and trading
- Assisting with the development and delivery of compliance training
- Conduct ongoing compliance risk assessments and coordinate with business leads to identify and mitigate risks and control gaps