What are the responsibilities and job description for the Vice President, Compliance Advisory for Swap Dealers position at Madison-Davis, LLC?
An international bank is seeking a motivated and experienced Vice President, Compliance Advisory for Swap Dealers to join their dynamic team. This role offers a hybrid work schedule, requiring only one day in the office per week, making it a flexible opportunity for the right candidate.
Key Responsibilities :
- Act as the examiner-in-charge overseeing all aspects of compliance M&T engagements.
- Assist in developing and enhancing M&T monitoring scripts to ensure compliance efficiency.
- Prepare information requests and announcement memoranda to facilitate smooth operations.
- Conduct fieldwork to assess the effectiveness of internal controls while supervising assigned staff.
- Perform Control Design Effectiveness analyses and review relevant rules and regulations.
- Ensure all work papers are cohesive and compliant with department standards.
- Identify underlying issues and escalate findings to stakeholders for validation.
- Draft issue memoranda and comprehensive reports for management review.
- Track identified issues and corrective action plans to validate remediation efforts.
- Stay updated on changing regulatory requirements and understand the business model for effective compliance oversight.
- Participate in the annual risk assessment process of relevant laws and regulations.
If you are ready to take the next step in your compliance career and want to be part of a leading financial institution, we encourage you to apply.
