Swap Dealer Compliance Officer
Salary $160000 - $200000 per year
Location New York
Consultant Lucky Nguyen
Date posted June 15, 20187 Times Square New York NY 10036 Robert Walters United States of America
This Swap Dealer Compliance Officer position will provide compliance support, advice, and guidance to the businesses with a focus on securities-based swap dealer related compliance. General areas of coverage include issue identification and counseling, addressing or responding to regulatory matters, monitoring and surveillance of business activities, providing of advisory services, training and education, and drafting and revising policies and procedures.
- Advising on regulations
- Reviewing and revising policies and procedures
- Developing training material
- Developing exception reporting and management information
- Collaborating with stakeholders from across the organization
- Monitoring compliance with applicable regulations through attendance at management forums, completion of sampling, and review of exception reports
- Responding to regulatory inquiries and internal reviews
- Interacting with regulators
The ideal candidate will have a strong background coming from a law firm or investment bank covering swap based securities. This individual will be reporting into the head of the swap dealer compliance program and assisting in managing a growing compliance team. This individual is expected to have a strong understanding of regulations surrounding swaps and experience in an advisory capacity.
The international investment bank that is hiring for this role is a very well known institution world wide. This organization is continuing in growing out their compliance teams and hopes to attract strong talent within specialized areas of compliance.
This is a great opportunity for a compliance officer who is looking to take their career to the Director level.
Apply today or call me, Lucky Nguyen, on 212-704-9900