NewYorkRecruiter
the smart solution for New York jobs

VP Swap Dealer Compliance Advisory

Company: The Forum Group
Location: New York
Posted on: March 18, 2019

Job Description:

Key Responsibilities: Assist with the ongoing development and implementation of Firm's global Swap Dealer Manuals and other Policies and Procedures to ensure that they are reasonably designed to achieve compliance with the requirements of Title VII of the Dodd-Frank Act Assist with the development and implementation of such Policies and Procedures as necessary to comply with international regulation applicable to Firm's swap activities in the US Assist with annual gap analyses to identify and update all impacted bank policies globally based on new swap reform regulations Provide ongoing support to the Head of Swap Dealer Compliance, including: Recommend and implement changes to the compliance program and the Swap Dealer Manual and related policies/procedures as needed on an ongoing basis. Draft and coordinate the dissemination of regular Compliance Alerts/Reminders globally to ensure that the front office and infrastructure groups are aware of new rules/regulations and policies/procedures relating to the Swap Dealer. Work with business management and Compliance surveillance staff on the development of first and second-level controls/surveillance needed for the Swap Dealer. Work with Compliance Testing teams and/or Audit staff on the development and ongoing testing/monitoring of the effectiveness of the policies and procedures for the Swap Dealer. Work with Business Line Compliance staff covering product lines and other relevant areas on annual risk assessments needed for the Swap Dealer. Work with Compliance Training staff on the development and coordination of initial and ongoing training for employees on requirements impacting the Swap Dealer. Prepare the Annual Compliance Report for the Swap Dealer, and any other required periodic reports that the Head of Swap Dealer Compliance will be required to make to the governing body or relevant regulatory authorities. You will have: Understanding of the swap market for one or more product classes. 5-10 years of compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm. Bachelor's degree; JD a plus. Working understanding of Title VII of the Dodd-Frank Act as pertains to the obligations of Swap Dealers and Security-based Swap Dealers. Understanding of OTC clearing. Excellent oral and written communication skills. Ability to project confidence and professionalism in all dealings with business personnel. Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor environment. Familiarity with trading deal capture systems, a strong plus. Securities and/or futures licenses, a plus. Experience in an investment banking environment, a plus. You will be: --- Extensive background and experience in compliance and control functions or targeted securities markets experience --- The ability to execute projects against plans with governance and reporting --- The ability to proactively manage and escalate risks in an appropriate manner --- Experience to lead meetings across senior levels of cross-functional representatives --- The ability to develop relationships at all levels and all functions and build virtual teams across functions and work well within a team --- The ability to work under pressure and within tight deadlines --- Strong analytical skills with good attention to detail --- Strong verbal and written communication skills --- Excellent computer literacy, specifically Microsoft Office Add skills and competencies for the position here --- Action oriented with a strong focus on completing tasks while working independently and with minimum direction --- A strong manager and leader in a matrix organisation --- Focus on engagement and execution to drive results and lead change Our client is a top tier global investment bank seeking to add to it's Compliance Advisory team, covering their Swap Dealer including particularly Title VII regulations of Dodd-Frank.

Keywords: The Forum Group, New York , VP Swap Dealer Compliance Advisory, Executive , New York, New York

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Executive Jobs


Registered Nurse RN Case Manager - Top Pay
Description: We are seeking a full time LPN/RN Case Manager to work in Newark, NJ for an insurance review company specializing in medical and disability management. The position is Monday - Friday 8-4pm . Responsibilities: (more...)
Company: Horizon Healthcare Staffing
Location: Elizabeth
Posted on: 03/24/2019

Nurse Case Manager
Description: A highly sought after Nurse Case Manager position has just opened at a prime location in Northern New Jersey near the New York City area. This short term acute care facility seeks an experienced Nurse (more...)
Company: Nurse Management
Location: Newark
Posted on: 03/24/2019

Registered Nurse Case Manager - McGuire AFB - Burlington County, NJ
Description: Case Management opening in Trenton, New Jersey. This and other rn jobs brought to you by NursingJobCafe.com Registered Nurse ndash Case ManagerJoint Base McGuire-Dix-Lakehurst ndash Burlington County, (more...)
Company: Specialty Government Services
Location: Trenton
Posted on: 03/24/2019


Current College Students - In-Store Management Executive Internship (Nebraska)
Description: One of the world's leading and most recognized brands comes to life in our stores, where guests are still captivated by everything that made them fall in love with Target. Our approximately 1800 locations (more...)
Company: Target
Location: New Brunswick
Posted on: 03/24/2019

Registered Nurse Case Manager - McGuire AFB - Burlington County, NJ (R
Description: Registered Nurse - Case Manager br Joint Base McGuire-Dix-Lakehurst - Burlington County, NJ br Long Term Contract with Benefits br Schedule: M-F 7:30am - 4:30pm br Qualifications: br ul li (more...)
Company: Specialty Government Services
Location: Trenton
Posted on: 03/24/2019

Sales Manager
Description: Axiom, a pioneer in the legal industry and a leading, global provider of technology-enabled legal solutions, is seeking a Sales Manager to join various offices around the globe: including New York, Chicago, (more...)
Company: Axoim Law
Location: Newark
Posted on: 03/24/2019

Project Manager - Construction Philadelphia 2070231
Description: Construction project management company looking for bright, energetic self- starters to fill the role of Project Manager. Ideal candidate is very detailed, organized, able to manage multiple projects/accounts (more...)
Company: NetHire
Location: Trenton
Posted on: 03/24/2019

11B Infantryman - Management Training
Description: The Infantry is the backbone of the Army. These Soldiers fill the literal boots on the ground who are responsible for taking or holding ground during any combat operation. You'll attack, repel, and capture (more...)
Company: Army National Guard
Location: Scranton
Posted on: 03/24/2019

DIRECTOR EDUCATION
Description: Job ID br br 44727 br br Category br br Management br br Shift br br 1 br br Type br br Full Time br br Department Name br br Clinical Educators br br SHORT DESCRIPTION (more...)
Company: Cooper University Health Care
Location: Camden
Posted on: 03/24/2019

11B Infantryman - Management Training
Description: The Infantry is the backbone of the Army. These Soldiers fill the literal boots on the ground who are responsible for taking or holding ground during any combat operation. You'll attack, repel, and capture (more...)
Company: Army National Guard
Location: Woodstown
Posted on: 03/24/2019

Log In or Create An Account

Get the latest New York jobs by following @recnetNY on Twitter!

New York RSS job feeds