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Vice President, Swap Dealer Compliance

In United States

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Vice President, Swap Dealer Compliance   

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JOB TITLE:

Vice President, Swap Dealer Compliance

JOB TYPE:

JOB SKILLS:

JOB LOCATION:

Chicago, IL United States

JOB DESCRIPTION:

Our client provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With over 130 years of financial experience and nearly 20,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service. Client is one of the largest banking institutions in the United States and one of the oldest banks in continuous operation. As of December 31, 2021, it had $1.6 trillion in assets under management and $16.2 trillion in assets under custody / administration.

 

We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.

 

Working with Us:

As a Client partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve!

 

We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why we are honored to receive the following awards in 2021:

 

  • Gender Equality Index Member, Bloomberg
  • Top Financial & Banking Company, Black EOE Journal, Hispanic Network Magazine, Professional WOMAN'S Magazine

We'd love to learn more about how your interests and experience could be a fit with one of America's best banks and most sustainable companies! Build your career with us and apply

 

 

The Sr. Consultant, Swap Dealer Compliance provides support to the Swap Dealer CCO in all aspects of the swap dealer compliance program, including periodic and event driven reviews of new or amended regulatory requirements, maintenance of relevant policies and procedures, and continuous monitoring of the compliance program. Detects and advises management of potential compliance issues and recommends procedural/process changes as a result.

 

Duties Include:

  1. Supports the Swap Dealer CCO in all aspects of the swap dealer compliance program, including regulatory change, issues management, trade reconstruction, business unit monitoring, annual report production, and providing guidance to the business regarding CFTC, NFA, and FRB regulations
  2. Assists in monitoring the effectiveness of the swap dealer compliance program, including proactively identifying enhancement opportunities to strengthen the swap dealer compliance program
  3. Reviews business policies, procedures, and processes to ensure alignment to regulatory requirements and expectations
  4. Provides updates and guidance to key stakeholders through periodic governance forums and ad-hoc communications
  5. Actively participates in responding to regulatory examinations, including gathering, reviewing, and submitting documentation to regulators
Qualifications:

Knowledge/Skills:

  • Detailed knowledge of CFTC, NFA, and FRB rules and regulations, including those related to external business conduct standards, swap data reporting, and cross-border regulations.
  • Familiarity with FX and IRD asset classes and the trade lifecycle
  • Experience working at or dealing with regulators, such as the CFTC or NFA
  • Strong analytical, organizational, interpersonal, verbal and written communication skills are required to analyze and summarize information
  • Strong ability to work both independently and collaboratively to meet deadlines
  • Strong attention to detail

 

Experience

  • 5-7 years' experience in Swap Dealer Compliance, Risk Management or other relevant Financial Services Industry role
  • Prior experience working at a regulator a plus

 

#LI-DK1

#LI-Hybrid

Employee Status:
Regular
Job Level:
Individual Contributor
Job Type:
Standard

Position Details

POSTED:

Jan 17, 2023

EMPLOYMENT:

INDUSTRY:

SNAPRECRUIT ID:

S166199051101711625

LOCATION:

United States

CITY:

Chicago, IL

Job Origin:

OORWIN_ORGANIC_FEED

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In Dallas Fort Worth
Aug 19, 2017 9am-6pm
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Vice President, Swap Dealer Compliance    Apply

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<div> <p><span><span><span>Our client provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With over 130 years of financial experience and nearly 20,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service. Client is one of the </span><a href="https://en.wikipedia.org/wiki/List_of_largest_banks_in_the_United_States" title="List of largest banks in the United States"><span>largest banking institutions</span></a><span> in the United States and one of the </span><a href="https://en.wikipedia.org/wiki/List_of_oldest_banks_in_continuous_operation" title="List of oldest banks in continuous operation"><span>oldest banks in continuous operation</span></a><span>. As of December 31, 2021, it had $1.6 trillion in assets under management and $16.2 trillion in assets under custody / administration. </span></span></span></p> <p> </p> <p><span><span><span>We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.</span></span></span></p> <p> </p> <p><span><span><b><u>Working with Us</u></b><b>:</b></span></span></p> <p><span><span><span>As a Client partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve! </span></span></span></p> <p> </p> <p><span><span><span>We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why we are honored to receive the following awards in 2021:</span></span></span></p> <p> </p> <ul> <li><span><span><span><span>Gender Equality Index Member, Bloomberg</span></span></span></span></li> <li><span><span><span><span>Top Financial & Banking Company, Black EOE Journal, Hispanic Network Magazine, Professional WOMAN'S Magazine</span></span></span></span></li> </ul> <p><span><span><span>We'd love to learn more about how your interests and experience could be a fit with one of America's best banks and most sustainable companies! Build your career with us and apply</span></span></span></p> <p> </p> <p> </p> <p><span><span><span>The <b>Sr. Consultant, Swap Dealer Compliance</b> provides support to the Swap Dealer CCO in all aspects of the swap dealer compliance program, including periodic and event driven reviews of new or amended regulatory requirements, maintenance of relevant policies and procedures, and continuous monitoring of the compliance program. Detects and advises management of potential compliance issues and recommends procedural/process changes as a result.</span></span></span></p> <p><span><span> </span></span></p> <p><span><span><b>Duties Include:</b></span></span></p> <ol> <li><span><span>Supports the Swap Dealer CCO in all aspects of the swap dealer compliance program, including regulatory change, issues management, trade reconstruction, business unit monitoring, annual report production, and providing guidance to the business regarding CFTC, NFA, and FRB regulations</span></span></li> <li><span><span>Assists in monitoring the effectiveness of the swap dealer compliance program, including proactively identifying enhancement opportunities to strengthen the swap dealer compliance program </span></span></li> <li><span><span>Reviews business policies, procedures, and processes to ensure alignment to regulatory requirements and expectations</span></span></li> <li><span><span>Provides updates and guidance to key stakeholders through periodic governance forums and ad-hoc communications</span></span></li> <li><span><span>Actively participates in responding to regulatory examinations, including gathering, reviewing, and submitting documentation to regulators </span></span></li> </ol> <h5 class="m-t-lg m-b-xs"><strong>Qualifications:</strong></h5> <p><span><span><b>Knowledge/Skills:</b></span></span></p> <ul> <li><span><span><span>Detailed knowledge of CFTC, NFA, and FRB rules and regulations, including those related to external business conduct standards, swap data reporting, and cross-border regulations.</span></span></span></li> <li><span><span><span>Familiarity with FX and IRD asset classes and the trade lifecycle</span></span></span></li> <li><span><span><span>Experience working at or dealing with regulators, such as the CFTC or NFA</span></span></span></li> <li><span><span><span>Strong analytical, organizational, interpersonal, verbal and written communication skills are required to analyze and summarize information</span></span></span></li> <li><span><span><span>Strong ability to work both independently and collaboratively to meet deadlines</span></span></span></li> <li><span><span><span>Strong attention to detail</span></span></span></li> </ul> <p><span><span> </span></span></p> <p><span><span><span><b><span><span><span>Experience</span></span></span></b></span></span></span></p> <ul> <li><span><span><span>5-7 years' experience in Swap Dealer Compliance, Risk Management or other relevant Financial Services Industry role</span></span></span></li> <li><span><span><span>Prior experience working at a regulator a plus</span></span></span></li> </ul> <p> </p> <p><span><span>#LI-DK1</span></span></p> <p><span><span>#LI-Hybrid</span></span></p> <h5 class="m-t-lg m-b-xs"><strong>Employee Status:</strong></h5> Regular <h5 class="m-t-lg m-b-xs"><strong>Job Level:</strong></h5> Individual Contributor <h5 class="m-t-lg m-b-xs"><strong>Job Type:</strong></h5> Standard</div>


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