Provide support ongoing development, execution and coordination of all aspects of the compliance program for the registered Swap Dealer and provision of advice to stakeholders as mandated by the relevant Commodity Futures Trading Commission ("CFTC") regulations.
Key Roles and Responsibilities
* Maintain and administer the global Swap Dealer Compliance Manual and other policies and procedures relevant to the swap dealer business; * Assitd the collection of results arising from the annual swap dealer compliance program undertaken in each region in which swap dealer business is conducted, and support the preparation and delivery of the annual compliance report; * Support the process to ensure consistency across regions in the fulfilment of all aspects of the swap dealer compliance program via the building of close collaborative relationships with local compliance teams responsible for the countries in which swap dealer business is conducted; * Co-ordinate the development and implementation of ongoing enhancements to the swap dealer compliance program and ensure it meets regulatory expectations; * Prepare the initial draft of the annual compliance report and coordinate feedback from senior Legal and Compliance management in preparation for the final review and certification; * In close collaboration with the Regulatory Reform Team, anticipate and assess potential regulatory developments and key risks with respect to swap dealer business for consideration. * Proactive participation in key industry forums and Dodd-Frank working groups to gather market intelligence and share best practices with peer firms; * Coordinate and ensure timely, comprehensive, and transparent responses to all inquiries and audit requests from regulatory authorities; Continue to strengthen the Bank's relationships with the relevant U.S. regulatory authorities by leveraging key contacts with senior NFA and the CFTC management.
Qualifications and Skills
Required: Bachelor Degree Desired: Master Degree/JD, knowledge of Title VII of Dodd Frank
How To Apply
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