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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate - General
Government and Government Relations
Min 5 yrs required
Rates/Swaps Compliance Officer VP Responsibilities: Performing this trading desk Line of Business Compliance, will be responsible for implementing and managing the overall compliance program for the Core Rates-related businesses in Bank’s New York Office. May also include cross-training in order to provide back-up coverage for the Credit Desks which include: Credit Sales and Trading (includes Investment Grade and High Yield), Distressed Products, and Loans. Managing the local compliance program for this business area in a manner designed to meet regulatory requirements and industry best practices. Identifying regulatory trends and developments, advising business staff as to how their current activities may be impacted, and working with supervisors to implement any required changes to current policy / practice. Providing real-time advice on sales and trading issues. Performing periodic risk assessments and gap analyses. Drafting and updating policies and procedures. Supporting the development of trade surveillance reports. Participating in internal investigations, responding to regulatory inquiries, and coordinating internal and external audits and inspections. Interacting with regulatory agencies and exchanges. Providing regulatory/compliance training as needed.
Qualification and Experience
Qualifications: Bachelor’s degree; JD Degree a plus. 5+ years of compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm. Strong knowledge of SEC and FINRA rules and regulations. Knowledge of CFTC Swap Rules and Dodd Frank Excellent oral and written communication skills. Ability to project confidence and professionalism in all dealings with business personnel. Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor environment. Familiarity with Bloomberg a plus. Securities license(s) a plus. Experience in an investment banking environment a plus.
Job ID: 3156063
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