Leading Financial institution looking for a Security-Based Swap Dealer Compliance Advisory VP
Work Model- Hybrid (2 days in office)
- Provide stakeholders with real-time interpretive guidance on applicable regulatory requirements, industry trends, and industry best practices
- Analyze new regulations and participate in business impact assessments and working sessions to help support and drive critical regulatory implementations
- Design and implement compliance programs, including the drafting of compliance manuals, policies, and procedures
- Draft interpretive memoranda and summary-level communications regarding regulatory changes, enforcement matters, and other impactful industry developments for internal clients and key stakeholders
- Evaluate regulatory guidance and recent enforcement activity to help foster line-of-business awareness, as well as shape compliance resource allocation and strategic direction
- Analyze regulatory changes and developments that impact in-scope coverage areas.
- Advise internal clients and stakeholders how such changes will either impact business-as-usual activities or require the development and implementation of net new approaches, workflows, or programs to comply
- Develop, maintain, administer, and deliver electronic and live regulatory compliance trainings
- Ability to efficiently coordinate with US Compliance colleagues to help provide cross-support to additional programs. Cross-train with teammates and US Compliance colleagues to help support in-scope mandates
- Assist the business with implementing and documenting various supervisory control mechanisms
- Provide a high level of customer service to our internal clients and stakeholders, acting as a key point of contact for internal inquiries
- Participate in internal investigations, respond to regulatory inquiries, draft responses to regulatory examination questions, guide stakeholders through exam-related remediations, and coordinate internal and external audits and management responses
- Develop and implement compliance monitoring and testing activities for covered business areas
- Participate in compliance risk assessments and law, rule, and regulation (LRR) control mapping exercises to help confirm effective business control frameworks
- Develop and deliver proactive strategies and tactics that support compliance and business objectives
- Explore and deliver process improvements to drive efficiency and streamline existing workflows
- Provide ongoing reporting to senior management
