Dodd Frank ~ VP Compliance
Company: SF & Partners
Location: New York
Posted on: January 27, 2012
Job Description:
Dodd Frank ~ VP Compliance
*Maintain current knowledge of relevant rules and regulations and using such knowledge to assist in identifying regulatory risk related to the businesses and operations of the global financial markets division.
*Help continue the development and implementation of the Compliance Program by assisting with coordination of the Compliance Department's efforts to manage the implementation of new regulatory initiatives, including changes to derivatives regulation and reporting requirements relating to Dodd Frank.
*Advise on the set up, registration and ongoing responsibilities related to registration with the appropriate regulatory agencies (e.g., SEC, CFTC).
*Advise on a full range of compliance issues associated with an offshore SEC Registered Investment Advisor
*Prepare for and respond to inquiries and audits from regulatory authorities
*BA/BS ~ JD or MBA a plus
*2 to 4 years experience in regulatory compliance
*Knowledge of market rules & regulations (e.g. FRB, NASD/FINRA, SEC, etc.)
*Knowledge of derivatives products and/or futures and commodities
*Understanding of Dodd-Frank Legislation and related rulemakings
*
Keywords: SF & Partners, New York, Dodd Frank ~ VP Compliance, Finance, New York , New York
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