Director, Central Compliance
Salary $170000 - $220000 per year
Location New York
Consultant Lucky Nguyen
Date posted June 25, 20187 Times Square New York NY 10036 Robert Walters United States of America
A well known capital markets broker/dealer is looking to add a senior level compliance officer to their team. This compliance officer will deal with compliance testing, Volcker, core compliance and registrations.
About this Broker/Dealer Compliance Officer role:
This opportunity will allow a senior level compliance officer to manage branch reviews, compliance testing, registrations and regulatory examinations.
- Participate in the compliance risk assessment exercise.
- Develop the annual test and branch review plans;
- Develop the annual Volcker test plan
- Manage the registration requirements for 2 US registered dealers and the global swap dealer
- Direct scope of reviews; review reports
- Build relationships with key stakeholders globally.
- Manage the regulatory examinations of the OCC, FED, FINRA
- Understanding of internal controls framework, design and effectiveness of business controls.
- Understanding of FINRA, SEC, NFA, CFTC rules (Dodd-Frank).