Senior Volcker Compliance Officer
Salary $200000 - $250000 per year
Location New York
Consultant Lucky Nguyen
Date posted May 9, 2017
A well known broker/dealer is looking for a senior level compliance officer to assist in the capital markets Volcker compliance program.
About the Senior Volcker Compliance Officer:
This position will be covering the covered funds space within the firm. In this position, you will provide strategic and direct support to all businesses/platforms to ensure compliance with the Volcker Rule and any new related regulatory reform initiatives.
- Develop the infrastructure and tools to meet the Rule’s requirement to identify, document, monitor, and report permitted trading and covered funds activities
- Work with the front-office to determine exemption availability for trading and covered fund activities
- Conduct a Volcker assessment of all new initiatives that involve trading and covered funds for all businesses globally
- Develop quarterly narrative to support the metrics submission to regulators
- Responsible for liaising with key regulators (i.e. Fed, OCC, CFTC) during examinations and inquiries
- Assessment of Covered Fund holdings for compliance with the Rule
This opportunity is with a well known financial services firm that has a strong presence within the capital markets space.
If you are a senior level candidate looking for the next step in your career, this is a great position for you.
Apply today or call me, Lucky Nguyen, on 212-704-9900