Swap Dealer, Compliance Assurance Job at Howard-Sloan Search, Fairfield County, CT

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  • Howard-Sloan Search
  • Fairfield County, CT

Job Description

A Global Bank is looking for a Sr Monitoring & Testing Compliance Assurance professional, reporting to the U.S. GC & Global CCO.

HYBRID - 2 days onsite -Fairfield, County, CT

This position will lead the compliance assurance team responsible for assessing compliance risks and controls implemented by the first and second lines of defense.

The candidate will design an effective compliance assurance testing program and will be responsible for leading the program monitoring and assurance reviews to identify potential breaches of regulatory requirements & firm's compliance policies, as well as to determine whether key controls, in place to mitigate the risk, operate effectively.

The role will also be responsible for reporting & escalating controls issues and any violations of laws, breaches of policy; and validating adequacy of remediative actions.

Education and Experience:

  • 7-10+ years of global compliance & audit experience; solid knowledge of swap-dealer business.
  • Strong knowledge of swap dealer regulations, and securities products and compliance including knowledge of CFTC, DTCC, NFA regulation.

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