Compliance Officer 4
" Assist with management of regulatory exams, reviews and questionnaires initiated by the SEC, Client, CFTC, CME Group, NFA and other SROs.
" Obtain, review and organize documents to be produced in connection with regulatory exams or reviews;
" Conduct internal prep meetings in advance of meetings with regulators;
" Track and respond to regulators' requests for information;
" Work with colleagues to draft formal responses to exam findings letters;
" Assist with ensuring exam findings are entered into MICOS on a timely basis;
" Assist with ad-hoc regulatory questions, including assistance with Continuous Monitoring meetings;
" Work on various projects with US Head of Exams, as needed.
Overview of department/team:
Challenges contractor will be facing in role: Understanding who the key stakeholders are to obtain information from, learning the business and not having institutional knowledge from previous exams
Essential skills and qualifications:
" 5-10 years of relevant Compliance/Regulatory experience, or equivalent;
" Bachelor's Degree required; JD, MBA or prior experience at a Regulator preferred;
" Ability to work independently and interact with all levels of management and regulators in a professional manner;
" Ability to handle confidential information with discretion;
" Excellent written and oral communication skills;
" Proficiency with MS Office and familiarity with SharePoint;
" Extremely detail-oriented with excellent organizational and interpersonal skills.
Desired skills and qualifications:
" FCM and Swap Dealer Compliance experience helpful
" Previous Regulatory Exam experience
Candidate Value Proposition:
Years of Experience suggested:
5-15 (big range) if exam experience, can be less.