Senior Vice President, Senior Swap Dealer Compliance Officer - Confidential : Job Details

Senior Vice President, Senior Swap Dealer Compliance Officer

About the Company

Well-known international wealth management firm & investment bank

IndustryInvestment Banking/Venture

TypeSubsidiary of a Public Company

Founded1962

Employees5001-10,000

Categories

• Wealth Management
• Banking
• Investment Banking
• Consulting & Professional Services
• Finance
• Securities
• Brokerage
• Investing

Specialties

• investment banking
• fixed income
• equities
• research & strategy
• wealth management
• and financial services

Business Classifications

• B2B

About the Role

The Company is seeking a Senior Vice President, Senior Swap Dealer Compliance Officer to join their team. The successful candidate will serve as a key compliance advisor, responsible for establishing and enhancing internal strategies, policies, procedures, and programs to ensure compliance with U.S. swaps and security-based swaps rules and regulations. This role involves working closely with internal stakeholders on a range of compliance issues, advising on regulatory requirements, and assisting in the management of non-compliance matters. The candidate will also be involved in preparing various compliance reports and presentations, as well as responding to regulatory inquiries and driving remediations with relevant stakeholders.Applicants must be highly motivated, detail-oriented, and possess strong presentation and analytical skills. The role requires the ability to assess complex issues, develop and manage relationships, and have a deep knowledge of swaps and security-based swaps products and markets. A Bachelor's degree and a minimum of 12 years' of experience in a compliance, legal, or other control-related function within the financial services industry are essential. The ideal candidate will have a proven track record of managing compliance programs, be comfortable with change, and have the ability to work with senior stakeholders to drive compliance initiatives.

Hiring Manager TitleHead of Swap Dealer Compliance

Travel PercentLess than 10%

Functions

• General Management
• Operations
• Strategy