What are the responsibilities and job description for the Director, Security – Based Swap Dealer Compliance Advisor position at Madison-Davis, LLC?
International investment bank located in Midtown Manhattan looking to bring on board a “Director, Security – Based Swap Dealer Compliance Advisor” to join their team. This role is currently in a hybrid schedule (3 days in office).
Responsibilities:
• 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.
• 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.
• Support the CCO in administering his/her duties to overseeing the Bank’s security-based swap dealer and swap dealer compliance program.
• Contribute to the preparation of the annual CCO report exercise
Salary : $180,000 - $220,000
