Business Analyst - Regulatory Compliance
- Based on experience
- New York, NY, USA
- Contract, Full time
- Sia Partners
- 19 Sep 16
OVERVIEW: The role will focus on regulatory compliance for CFTC & SEC swap dealers. This role will knowledge of the rules and current activities of the CFTC, the SEC, and the NFA.
-Manage the development a robust global compliance program for the bank's CFTC and SEC Swap Dealers.
-Provide guidance for the CFTC and the SEC Swap Dealer Regulations to assess compliance and recommend enhancements
-Manage the implementation of remediation actions for the Swap Dealer compliance program and related policies/procedures as needed on an ongoing basis.
-Assist with analyzing new rules and changes to existing rules for all swap transactions; including Canadian, European and Asian Markets.
-Assist with impact analysis on banks globally based on new swap reform regulations across all global markets.
-Assist with the development and implementation of policies/procedures as necessary to comply with international regulation applicable to the bank's swap activities in the US.
-Bachelor’s degree (Graduate MBA or JD degree desirable),
-2-5 years of CFTC/SEC regulatory experience; 5-12 years total experience, preferably in a regulatory capacity, (i.e. federal regulator, self-regulatory organization, law firm or trading environment)
-Knowledge of Dodd-Frank/derivatives regulations
-Familiarity with Capital Markets products and their front-to-back processing
-Project Management skills
-Strong organizational skills and attention to detail