Summary Global Markets Regulatory Compliance (“GMRC”) Advisory - Americas Director is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions. Key Responsibilities: · Responsible for the ongoing development, implementation and refinement of a comprehensive 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. · Continually 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. 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 FINRA, SEC, NFA, and CFTC. Salary Range: $190k - $220k #LI-DNI 8+ years prior compliance advisory experience, including interaction with US regulators. Experience in managing a small team of compliance officers Bachelors degree required JD preferred
Overview:The Organizational Development Specialist is responsible for designing and delivering strategic programming to meet professional and leadership development program goals. Partners with organizational leaders and departments to determine learning and development...
...and sale of high quality homes designed principally for the entry-level and first time move-up markets. The Company also provides mortgage... ...D.R. Horton, Inc. is currently looking for a Entitlements Project Manager . The right is responsible for coordinating internal...
...Development Schools and the Red Bulls Academy teams. Purpose of this Job The New York Red Bulls are looking for a match day stage manager to assist with execution of game entertainment elements. The ideal candidate would have prior sports experience, the ability to...
Labor One is hiring Riggers for a project in San Diego, California. 5 years of shipyard experience is required. Please contact our team for more information! Cell: (***) ***-**** , (***) ***-**** or (***) ***-*****Please send us a text if we don't answer* Walk-...
DescriptionMortgage Loan OfficerThe Consumers Credit Union team is looking to hire a passionate Mortgage Loan Officer (MLO) to join our team. As a MLO, you will serve the members of the credit union by advising them on the best way to purchase or re-finance their...