Attorney in Raleigh, NC

In-House

Raleigh, NC

Attorney in Raleigh, NC

Non-practicing Attorney

Min 5 yrs required

No

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Under the Compliance Group Functions, the Swap Dealer Regulatory Governance Officer will work within the **Members Only** Swap Dealer Regulatory Governance team to oversee regulatory requirements and control frameworks. This role will involve analyzing and providing guidance, conducting risk assessments, performing testing, and supporting regulatory implementations. The position will be based in various locations across the United States, including Nashville, New York, Raleigh, Stamford, Washington, and Weehawken.

Salary information:
- Washington, Raleigh, Nashville: $98,000 - $123,000
- Weehawken, Stamford, New York: $119,000 - $156,000

Responsibilities:
- Assist in the planning, coordination, and delivery of the team's annual Swap Dealer and SBSD review
- Support complex rules-based Swap Dealer reviews by analyzing and providing credible challenge regarding key first line of defense processes, procedures, and controls
- Conduct compliance reviews, prepare detailed workpapers, and draft final reports with findings, conclusions, ratings, and remedial actions
- Provide management with impactful results, trends, issues, and themes to Swap Dealer governance and risk committees
- Participate in the development and enhancement of testing methodologies and standards
- Contribute as a lead or joint assessor in the execution of the annual rules-based Compliance Risk Assessments
- Provide guidance and support to Swap Dealer stakeholders on CFTC and SEC rule interpretation, product classifications, client eligibility, and reporting requirements
- Monitor certain processes that impact compliance with relevant CFTC and SEC rules
- Support regulatory examinations and internal audits, including driving associated remediations with relevant stakeholders
- Participate in the governance of Swap Dealer and SBSD Associated Persons

Requirements:
- University degree in finance, economics, business administration, or numerical discipline (JD, MBA, or other advanced degree preferred)
- 5+ years of experience in the financial services industry, in-house audit at a financial institution, or examination experience at a financial industry regulator
- Knowledge of swaps and security-based swaps products and markets
- Familiarity with . CFTC Swap Dealer and/or . SEC SBSD laws, rules, and regulations
- Detail-oriented with strong ability to drive tasks to completion
- Ability to work well in a team-oriented, fast-paced environment

About **Members Only**:
- The world's largest and only truly global wealth manager
- Operates through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and Investment Bank
- Presence in all major financial centers in more than 50 countries
- Embraces flexible ways of working, including part-time, job-sharing, and hybrid (office and home) working
- Commitment to diversity and inclusion in the workplace

**Members Only** is an Equal Opportunity Employer and values diversity in its workforce. The company seeks to empower each individual and support a diverse range of cultures, perspectives, skills, and experiences. If you are interested in joining #team**Members Only** and making an impact, apply now.