VP,Compliance Advisory

New York, NY

Post Date: 06/01/2018 Job ID: 10840442 Industry: FIN Perm
This position is within the market regulatory advisory team, a group that provide coordination, oversight and advisory services on applicable U.S and international regulations.
The candidate will primarily work with the Global Market Division's sale and trading business line to identify, develop and implement policies and procedures, processes and control pursuant to law, regulations, rules and interpretations or guidance issued by U.S market regulator including the SEC and CFTC. Client, NFA and other SROs; and prudential bank regulator such as Client and OCC as applicable. The position has a strong emphasis on Dodd-Frank Act Regulations, Swap dealer rules and Volcker Rule-related responsibilities, including interpretation and application of cross-border regulatory requirements.

Major responsibilities:
  • Provide guidance to sales and trading business lines and support functions on the applicability and interpretation of U.S. Banking laws and markets regulations.
  • Partner with other compliance teams and global functions including legal, middle office, risk, operations and technology, and finance to prevent and detect non-compliance issues and promote a culture of compliance.
  • Lead initiatives and manager high-impact special projects with a results-driven focus, including the coordination and implementation of new regulatory requirements and compliance program design.
  • Identify and analyze the enterprise-wide impact of new and complex regulatory developments including enforcement actions, and propose or final rules affecting the markets businesses (across multiples asset classes including futures, fixed income, rates, credit and FX products)
  • Draft and implement policies and procedures to set consistent standards across business and products lines.
  • Investigate internal and external incidents/complaints, and prepare documentation and submissions to appropriate regulatory agency, as necessary.
  • Participate in industrial groups and trade association working groups or other forums.
  • Proactively review, design and enhance processes and or control
  • Prepare and provide training as needed
  • Provide assistance to internal or external auditors in compliance review
  • Provide response to regulatory agencies regarding service and product information or issue
  • Other duties or responsibilities as assigned

Additional information:
6-10 years of relevant experience with extensive knowledge and expertise on applicable laws and regulations administered by Client Bank, OCC, CFTC, SEC, Client and state banking regulators.

Seth Friedland


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