Global Markets Regulatory Compliance Advisory - Americas Director Job at CA CIB Americas, New York, NY

SjJQZW8xY3pFR000T2U5ZWhMRW1JRjU5dGc9PQ==
  • CA CIB Americas
  • New York, NY

Job Description

Summary As a Director in the Global Markets Regulatory Compliance (“GMRC”) Advisory team at CACIB, you will play a critical role in advising internal stakeholders on the implementation and development of compliance requirements set forth by the SEC for security-based swap dealer and CFTC and NFA for the swap dealer. This position is integral to enhancing the overall swap dealer program and implementing the security-based swap dealer program. You will engage with Global Markets Division as well as collaborate with Legal, Operations, Risk, IT, Finance and IGE stakeholders. In this role, you will be responsible for implementing security-based swap dealer compliance program, advising enhancements to the swap dealer compliance programs, assisting in responding to regulatory inquiries, audits, examinations and investigations. Your expertise in SEC, CFTC and NFA swap regulations will be essential in establishing the security-based swap dealer compliance program and assisting the Bank in meeting its regulatory obligations. Key Responsibilities: · Responsible for the ongoing development, implementation and refinement of a comprehensive security-based swap dealer compliance program. · Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations. · Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements. · Communicate new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance. · Assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk through a surveillance and monitoring program. · Design, implement and maintain Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk. · Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions. · Evaluate new products and activities to ensure compliance issues are identified and remediated. · Support the CCO in administering his/her duties to overseeing the Bank's security-based swap dealer and swap dealer compliance program. · Contribute to the preparation of the annual CCO report exercise Key Internal contacts o All GMD business units o Legal department o Audit department o Risk departments and o Operations departments. Key External contacts The Firm's regulators, including but not limited to SEC, NFA, and CFTC. 8+ years prior compliance advisory experience, including interaction with US regulators. Experience in managing a small team of compliance officers NFA SPR (or ability to complete upon employment) Bachelors Required JD preferred

Job Tags

Permanent employment,

Similar Jobs

MDstaffers

Virtual Primary Care Physician Nocturnist (Texas) Job at MDstaffers

(Physician/MD qualifications required) Internal Medicine - MDstaffers is seeking a qualified Virtual Primary Care Physician Nocturnist in...  ...to provide comprehensive treatment. Additionally, this is a remote opportunity with flexible scheduling that allows you to provide... 

Everything But The House

In-home Consultant Manager - Columbus Job at Everything But The House

 ...global auction platform unleashes an ever-changing assortment of art, jewelry, fashion, collectibles, antiques and more, most with a...  ...best to make it right. Were seeking an innovative In-home Consultant Manager who is an effective leader, thrives in a fast paced... 

Northrop Grumman

Manager Business Management 3 Job at Northrop Grumman

 ...future.Northrop Grumman Defense Systems (NGDS) is seeking a **Manager, Business Management 3** to lead all business activities associated...  ...process improvement.**Basic Qualifications:**+ Bachelor's degree in Accounting / Finance / Mathematics with a minimum of 10 years... 

JPMorgan Chase & Co.

US Trusts & Estates Attorney - Vice President, Assistant General Counsel Job at JPMorgan Chase & Co.

 ...inclusivity and professional growth, we want to hear from you. As a US Trusts & Estates Attorney - Vice President, Assistant General...  .... Advise on laws and regulations applicable to the Private Banks US corporate trustee entities. Collaborate with the legal team... 

Nama at Aman New York by F&B 575

Sushi Chef de Partie Job at Nama at Aman New York by F&B 575

 ...The Sushi Chef de Partie with F&B 575 in Nama at Aman New York is responsible for running the day-to-day operation of a specific station while having an understanding of the other kitchen stations. The Sushi Chef de Partie will prepare high-quality food that meets the...