Vice President, Product Compliance Officer
Core
Provide compliance advisory coverage for a registered foreign Swap Dealer and U.S. Broker Dealer, supporting trading, sales, and capital markets activities.
Role type
Senior IC product compliance officer (capital markets/derivatives)
Builds
Regulatory guidance and compliance programs for Swap Dealer and Broker Dealer activities
Domain
Financial services, capital markets, derivatives, fixed income, treasury, repo
Required skills
CFTC and NFA swap dealer regulation, SEC and FINRA broker-dealer requirements, derivatives/fixed income/treasury/repo product knowledge, regulatory advisory to trading/sales, policy/procedure development, regulatory change management, compliance monitoring and surveillance, audit participation, training delivery
Preferred skills
Foreign banking organization experience, regulatory change management and horizon scanning
Technologies
CFTC, NFA, SEC, FINRA, Dodd-Frank, CAT, TRACE
Responsibilities
Provide day-to-day compliance advisory support to sales and trading businesses; Advise on applicable CFTC, NFA, SEC, FINRA, and other regulatory requirements; Support the Swap Dealer and Broker Dealer Compliance Program; Provide subject-matter guidance on Dodd-Frank swap data and real-time reporting; Assess compliance requirements and controls relating to collateral management and margin processes; Advise on broker-dealer transaction and audit trail reporting obligations; Review new products and business initiatives for regulatory compliance risks; Conduct compliance monitoring and surveillance reviews; Participate in regulatory examinations, audits, and inquiries; Deliver compliance training
Seniority
Vice President, strategic advisor & mentorship
