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VP SBSD Swap Dealer Advisory

  • Location:

    New York

  • Sector:

    Risk & Compliance

  • Job type:


  • Salary:

    US$140000 - US$200000 per annum + Performance based bonus

  • Contact:

    Cameron Silver

  • Contact email:

  • Job ref:


  • Published:

    3 giorni fa

  • Expiry date:


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

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