What are the responsibilities and job description for the Principal, Regulatory Compliance (SEC, CFTC) position at Request Technology, LLC?
A prestigious company is looking for a Principal, Regulatory Compliance (SEC, CFTC). This principal will need to have expert level knowledge of securities and commodities rules and regulations such as SEC, CFTC, COBIT, NIST, COSO, etc. They will support regulatory compliance across the whole business, operational risk, financial, and IT.
Responsibilities :
- Leverage technical expertise to support regulatory evaluations spanning highly technical subject matter areas concerning information technology (including governance, networking, cloud architecture, containerization and agile delivery etc.), security services (including threat & vulnerability management, data & information management, data loss & privacy, security operations etc.), financial risk management (including credit risk, liquidity risk, model risk, stress testing, default management, etc.), clearing and settlement, enterprise risk management (including operational risk, third party risk management, etc.), corporate finance (including accounting, finance, treasury, etc.) and other general business practices
- Assist business units with the identification, understanding, and development of processes, policies, procedures, and controls that effectively demonstrate compliance with regulatory obligations and rules proposed by firm’s regulators
- Further develop approaches for evaluating firm’s compliance posture and drive enhancements to firm practices in alignment with existing and new regulations, industry best practice, and other relevant guidance
- Interact and communicate in a highly effective, professional, and insightful manner with business colleagues within the company and third parties such as external auditors and regulators, as needed
- Exhibit and foster a strong compliance culture across all staff members
- Exhibit and foster strong collaboration across firm’s control functions (i.e., internal audit, enterprise risk management, compliance, model validation)
- Keep abreast of changes in regulatory environment and industry best practices / frameworks (i.e., NIST, COBIT, ISO, etc.)
- Independently produce and deliver education on regulatory compliance topics
- Perform ad-hoc duties for Compliance management as necessary
- Bachelor's Degree in Accounting, Business, Economics, Finance, other business and finance-related discipline or Information Systems, Computer Science or related discipline
- 10 years of experience
- Experience working in compliance, audit, or risk for a financial services company
- Familiarity with the Securities Exchange Act of 1934 and the Commodity Exchange Act
- Expert working knowledge of securities and commodities rules and regulations. (i.e., SEC, CFTC, etc.)
- Expert working knowledge of compliance related best practices
- Experience in risk and control frameworks, and process improvement frameworks (e.g. COBIT, COSO, ITIL, NIST, ISO 27001, ISO 9001, CMMI)
- Proficiency with MS Office software
- Experience using an integrated risk management system (such as RSA Archer)
- Experience using NAVEX Global and PolicyTech
- CPA, CFA, CIA, CFE, CISA, CISSP, CRISC, CCSP etc.
Qualifications :
