Apply for the VP – Derivatives Regulatory Compliance Officer position

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Investment bank located in Midtown Manhattan looking to bring on board a “VP – Derivatives Regulatory Compliance Officer” to join their team. This role is currently in a hybrid capacity (2-3 days per week).

Responsibilities:

•Participate in the evaluation of new and amended regulations, primarily with respect to CFTC, SEC, and NFA SD and SBSD regulations
•Work with Business and Infrastructure managers, as well as with other Compliance staff, to assess impact of new and amended regulations and agree plans to implement policies, procedures, and controls to comply with new requirements in a timely manner.
•Track progress on agreed regulatory implementation plans and escalate issues as needed.
•Liaise between Regulators and Firm SMEs regarding various matters including model, market, and credit risk related regulations.
•Manage the intake of regulatory inquiries and the coordination of responses to ensure timeliness and completeness.
•Assist with the coordination of NFA, CFTC, and SEC regulatory examinations and requests, including:
•Assignment of deliverables to internal stakeholders and tracking of responses
•Preparation and submission of responses; and
•Coordination of meetings between regulators and internal stakeholders.
•Assist the CCO and other team members with other compliance program enhancement projects and BAU functions, as needed.