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Swap Dealer Compliance VP
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$160,000 - $235,000 a year
Full-time
- This position will require engagement with the business, including Global Markets Financing Solutions, as well as with Compliance, Legal, Operations, Enterprise Risk Management, Finance and Audit stakeholders.
- Assisting in responding to regulatory inquiries, audits, examinations and investigations, and liaising with regulators (SEC, CFTC & NFA)
- Serving as an escalation point and coordinate remediation of non-compliance issues
- Assisting in drafting CCO annual compliance reports for the CFTC Swap Dealer and SEC Security-Based Swap Dealer and presenting report to senior management
- Periodically assessing the effectiveness of the relevant SEC, CFTC and NFA rules on a periodic basis together with obligations, risks and controls, including risk assessment activities
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