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Trading Advisory Compliance VP
- Interesting Subject Matter
- Competitive Compensation
About Our Client
My client is the leading asset management firm in the world.
- In alignment with the global trading compliance program, implement and maintain a cohesive, risk-based compliance program;
- Maintain and enhance, as required, policies, procedures and processes regarding a variety of regulatory matters
- Primarily responsible for supporting and enhancing the proprietary cross trading platform and derivative compliance program (e.g., futures, swap margin rules)
- Partner with the Transactional Surveillance and Forensic Testing Team to identify and investigate escalation items;
- Advise the business on their day-to-day operations as well as their strategic initiatives;
- Develop and deliver effective training programs;
- Respond to regulatory requests and other information requests;
- Advise on regulatory reform and implementation
The Successful Applicant
- Bachelor's degree required; Master's or law degree a plus
- 5-10 years of compliance experience in financial industry
- Extensive experience with fixed income and cash instruments and the development, implementation and management of regulatory compliance programs.
- Good understanding of the US federal securities laws and derivative rules.
- Excellent organizational skills and detail oriented.
- Must have superior skills in MS Word, Excel, and PowerPoint.
- Ability to perform in a fast paced environment and interact with senior management under highly demanding
What's on Offer
* Full benefits: health, vision, dental, child care
* Daily, catered lunch
* Car and cell phone budget