Manager, Compliance
Core
Administer and enforce compliance and operational risk programs for a systemically important clearing house regulated by the CFTC, SEC, and Federal Reserve.
Role type
Manager, Compliance
Builds
Regulatory reports, compliance policies, training programs, and internal monitoring results
Domain
Financial services / Clearing houses / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Regulatory reporting, policy drafting, audit participation, training administration, risk remediation, AML program oversight, IT/cybersecurity compliance
Preferred skills
JD, experience with regulators or regulated entities (clearing house, exchange, bank), clearing house regulatory familiarity, SharePoint proficiency
Technologies
Word, PowerPoint, Excel, SharePoint
Responsibilities
Compile and file regulatory reports; present reports to governing committees; participate in regulatory examinations and audits; administer compliance and new hire training; execute internal compliance monitoring and remediate gaps; monitor clearing participant rule compliance; review and implement regulatory changes; assist with business continuity and disaster recovery; assist with IT and cyber security programs; assist with anti-money laundering program
Seniority
Manager, hands-on leadership