Swap Dealer Testing Associate

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.

Broker Dealer Testing Associate 2LOD

This role is responsible for assessing compliance risks and controls within the Broker Dealer testing program. The candidate will be part of team operating an effective Compliance Assurance testing program and will be responsible for monitoring and assurance reviews to identify potential breaches of Regulatory Obligations and Corporate Compliance policies. This role will also undertake key controls to mitigate the risk of non-compliance with Compliance Risk and for reporting and escalating controls issues and breaches of policy.

Key Responsibilities:

• Contribute to the NWM, US Compliance Assurance Monitoring and Testing Plan.

• Execute assurance reviews across relevant areas of the business and work as part of the team to process the core testing activities in accordance with regulatory requirements and NWM Risk Profile to achieve the right customer outcomes.

• Report and escalate control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.

• Actively consider the inherent and material risks associated with the role and ensure risks are appropriately identified, assessed, and mitigated to the desired risk appetite.

• Maintain strong stakeholder engagement with the business and build ongoing relationships

• Actively participate in the annual rules-based risk assessment process.

• Keep current with industry specific emerging risks, trends and issues across the industry.

Education and Experience:

• Compliance and audit related experience

• Knowledge of business processes and IT technologies utilized in the broker-dealer business.

• Good knowledge of broker-dealer and securities processes and business.

• Excellent communication skills in interacting with regulators and stakeholders across a number of business lines and control functions.

• Strong organization, written, verbal and presentation skills.

• Willingness to take on additional duties as necessary.

• Proficient in the use of technology.

The expected base annual salary range for this position is $80,000 - $105,000 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.