VP, Swap Dealer Compliance

Full Time

Multinational Investment Banking Client

Office Status: Hybrid

Responsibilities:

  • Lead and support ongoing security-based SD compliance program implementation efforts and assist with the ongoing development and implementation of client’s global SD and security-based SD manuals and other policies and procedures
  • Provide continuous monitoring of the Firm’s SD and security-based SD compliance programs to identify program gaps and/or enhancement opportunities; work with internal and external stakeholders to identify and implement action plans in response to the same
  • Draft and distribute formal compliance alerts or informal notes with respect to the SD and security-based SD and work with internal and external stakeholders on the ongoing development of first- and second-line pf defense (1LOD and 2LOD) controls and surveillance needed for the SD and security-based SD
  • Work with internal and external stakeholders on the development and ongoing testing/monitoring of the SD and security-based SD compliance programs and develop and conduct training related to the SD and security-based SD compliance programs
  • Work with business line compliance and other relevant teams on annual SD and security-based SD risk assessments and draft periodic (e.g., SD annual CCO report, risk assessment reports) or ad-hoc reports, memos and other documentation, including regulatory responses
  • Conduct ad-hoc research and/or analysis related to laws, rules, regulations, guidance or best practices related to the SD and security-based SD compliance programs
Upload your CV/resume or any other relevant file. Max. file size: 2 GB.

Share on
Print