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Banking Attorney in Hilton Head Island, SC

General Counsel Consulting Jul 30,2014 Location Hilton Head Island SC
This job is expired...

In-House

Attorney

Finance - Banking

Litigation - Whistleblower - CFTC

Min 6 yrs required

Profile

General Counsel Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Compliance Consultant IV The candidate primarily supports the Swap Dealer (SD) with a primary focus on the Interest Rates Risk Management (IRRM) line of business, but will assist other lines of business as needed. Specific responsibilities relate to the build out and support of projects related to the Dodd-Frank regulatory requirements on derivatives, including the establishment and maintenance of the SD compliance program. This will include assisting with the ongoing oversight of Dodd-Frank to ensure compliance with regulatory requirements. Duties include: Assist with developing, implementing and monitoring a risk-based compliance program to ensure compliance with regulatory requirements and firm policies and procedures; Participate in industry and LOB calls to understand and develop policies and procedures for proposed regulations impacting SD LOBs; Become well versed in the products offered by the SD LOBs and the inherent risks of such products and the policies, procedures and controls surrounding them. Update and enhance such policies, procedures and controls to meet the changing needs of the businesses, as well as industry/regulatory changes; Assist in oversight of the SD, to include development and maintenance of policies and procedures, conducting surveillance and monitoring to ensure compliance with regulatory requirements; Prepare and present training materials to meet regulatory and firm requirements; Assist in planning and preparation for exams and audits; prepare and gather documents to respond to regulatory inquiries; Review marketing materials; Assist with the review and documentation of Major Compliance Requirements; Prepare required regulatory reporting to meet specific CFTC and NFA requirements; Liaise with Corporate Compliance to ensure adherence with required standards; Participate on and potentially manage special projects; Liaise with various support partners to provide advice and guidance to the business lines. The candidate should preferably have J.D. or other advanced degree. Should have 6+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 3 years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). Must have experience working in a capital markets and/or derivatives environment. Previous experience in preparing and presenting training and developing policies and procedures are required. Experience with Derivatives, Dodd-Frank Act/Financial Reform are desired. Experience dealing with CFTC, NFA or other regulatory agencies are desired. Should preferably have transaction monitoring and surveillance experience. Should have an understanding of the business lines and organizational structures noted above to facilitate interaction with marketers and traders. Must have ability to develop a cross-functional knowledge of compliance responsibilities to gain a deep understanding of the regulatory framework, as well as specific internal and industry requirements. Must preferably have knowledge of CFTC, NFA, and applicable OCC rules. Knowledge of Interest Rate Swaps and related regulations are desired. Must have effective organizational and time management skills. Should have demonstrated strong research and documentation skills. Must have ability to demonstrate effective oral/written communication, interpersonal and professional skills. Should demonstrates analytical and problem solving capabilities with the ability to prioritize and escalate issues appropriately. Deadline: 2-8-2014.

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