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Senior Compliance Generalist
A senior level role within a Fortune 500 financial services firm.
An exciting opportunity for anyone with direct Swap Dealer experience.
About Our Client
A Fortune 500 financial services firm is looking to add a Senior Compliance Officer to their team in Chicago. This individual will be the entity-specific "direct" reporting line to the CCO.
Key responsibilities of this role are:
- Respond to regulatory inquiries and internal reviews.
- Work with Audit staff on the development and ongoing testing/monitoring of the effectiveness of the policies and procedures for the business unit.
- Recommend and implement changes to the Swap Dealer compliance program and the related policies/procedures as needed on an ongoing basis.
- Assist with the development and implementation of such Policies and Procedures as necessary to comply with current regulations
- Assists in developing an audit process for the annual CCO report, determine what is within scope, how it will be tested, document deficiencies, and develop a plan to resolve deficiencies.
- Performs employee performance reviews, ongoing employee evaluation, and feedback.
The Successful Applicant
- An aptitude for learning and remaining current on industry rules and regulations to help ensure that the company meets regulatory standards and industry best practices.
PRIOR WORK EXPERIENCE
- Experience meeting with, and responding to CFTC and NFA inquiries.
- 5 plus years of compliance experience
- Swap Dealer experience
- Bachelor's degree; J.D. or M.B.A a plus.
What's on Offer