Compliance Director, Global Markets Regulatory Advisory

Compliance Director, Global Markets Regulatory Advisory

NYC – Hybrid

Hamlyn Williams has partnered with one of the largest foreign banks, based in NYC, NY that are looking to hire a Compliance Director, Global Markets Regulatory Advisory.

This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply.

As the Compliance Director, Global Markets Regulatory Advisory, you will:

• Organize compliance regulatory examinations and participate in the coordination of response to these examinations.
• 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.
• Evaluate new products and activities to ensure compliance issues are identified and remediated.

As the Compliance Director, Global Markets Regulatory Advisory, you will need:

• B.S. Degree, JD is nice to have
• 8 years of compliance advisory experience, including interaction with US regulators.
• 3 years of experience with people management
• In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC and NFA rules and regulations applicable to swap dealers.
• Must know of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities.
• Series 7, Series 3 and Series 24 are nice to have
• Must be a U.S. Citizen OR Greencard Holder