Managing Director OTC Derivatives Compliance

  • Competitive Base & Bonus
  • New York, NY, USA
  • Permanent, Full time
  • Ashton Lane Group
  • 19 Oct 17 2017-10-19

Oversee the development and execution of compliance programs within a financial services regulatory environment.


  • Develop and implement the department's exam and enforcement strategic goals.
  • Identify and propose solutions to development opportunities facing compliance programs, including its policies and procedures.
  • Actively participate in the review of department and organizational functions and promote organizational initiatives with the involvement of staff.
  • Oversee the execution of compliance oversight activities so that the program meets its commitment to senior management and other stakeholders
  • Manage and coach exam and investigation Directors, including the completion of all performance management functions, effectively coaching subordinates, providing them with meaningful feedback in evaluations, and guiding them in their career development, etc.
  • Act as the point of escalation for emergency or unresolved policy matters arising out of examinations, reviews or investigations
  • Promote initiatives and develop innovations that enhance productivity and efficiency.
  • Collaborate with and coordinate with other departments to ensure compliance-related work processes are effective and efficient.
  • Act as liaison with other regulatory bodies and work to coordinate and monitor requests made by such bodies 


  • 10+ years’ experience in an audit, regulatory, or compliance function, particularly involving OTC derivatives.
  • Demonstrated abilities in leading a large group of individuals in achieving stated objectives, preferably in a regulatory or compliance function
  • Experience in leading strategic initiatives in a consensus driven context
  • An understanding of complex and sophisticated market issues
  • Strong familiarity with the OTC derivatives market IRS, CDS, Equity, Commodity and Energy, etc.
  • Excellent oral and written communication skills.
  • Bachelor's Degree in accounting, finance or related field. Advanced degree preferable in accounting, finance or related field

For immediate consideration, please forward resume and contact details to:

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