Regulatory Advisory / Compliance Officer Director

This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.

Scope of Role:

• Ongoing review and implementation of changes to the swap dealer and policies and procedures.

• Advisory coverage of the NatWest Markets business in the U.S.

• Identifying regulatory changes impacting NatWest Markets business in the U.S.

Responsibilities

• Provide advice to Front Office and support functions in relation to the Dodd Frank requirements applicable to swap dealers and Futures Commissions Merchants (FCM)

• Work closely with members of the US Legal & Compliance Department, as well as legal and compliance colleagues globally, to assist with remediation of gaps, deficiencies, or required enhancements to existing policies, processes and procedures and preparation of responses to regulatory inquires or audits relating to swap dealer and FCM

• Recommend and implement changes to the swap dealer and FCM compliance programs, relevant policies and procedures on an ongoing basis.

• Participate in various internal working groups, committees, and forums and provide regulatory updates.

Deliverables:

• Being a contributing team player in a challenging and evolving regulatory environment, incorporating a positive and flexible approach.

• Advising the business on swap dealer and FCM regulations.

• Representing Legal & Compliance Department’s interests and goals at internal meetings, committees and working groups and external functions as needed.

• Having a positive working relationship with internal stakeholders and relevant regulators.

• Developing and/or updating swap dealer and FCM compliance policies and procedures as the result of identified deficiencies, new or amended regulations and/or to enhance the overall effectiveness of the Compliance function.

Experience:

• Experience with diversified financial products/services within capital markets and banking as well as a focused understanding of the risks inherent in such activities, products and services.

• In-depth knowledge and comprehension of regulatory requirements and global regulatory and industry trends relevant to derivatives, specifically CFTC and NFA swap dealer rules and the FCM

• Experience writing and implementing policies and procedures, as well as remediating existing ones.

• Ability to analyse regulations and determine impact to the firm.

• Ability to identify, research and define compliance requirements and develop appropriate policies and procedures.

• Ability to work collaboratively and persuasively with front office and control functions to leverage available resources and talent to help drive remediation activities to completion.

• Ability to communicate and advise with knowledge and credibility to all levels of management, including appropriate management committees or forums.

• Excellent writing skills and strong research skills, analytical and problem-solving skills, and attention to detail.

• Ability to effectively multi-task and maintain positive attitude under pressure.

• Experience working within a legal or compliance function of a Swap Dealer on Dodd Frank (Title VII) rules and regulations.

• Bachelor’s degree required; JD preferred.

• At least 5 years of financial industry experience.

• Experience as a financial services regulator and understanding of financial, operational and IT controls is highly desirable

The expected base annual salary range for this position is $180,000 - $220,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.

It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran – review "EEO Is The Law", “EEO is the law- Supplement” & “Pay Transparency Provision” posters here.