Compliance, Swap Dealer Compliance, Vice President, New York
3 weeks ago
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance
Compliance accomplishes these through the firm's enterprise-wide compliance risk management program
As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries
You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading
We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape
Swap Dealer Compliance seeks a Compliance Officer to advise internal stakeholders on implementation and development of CFTC, NFA and SEC swap dealer requirements, including developing relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting, metrics and assisting in the remediation of noncompliance matters
This position will require engagement with the business, including Global Banking and Markets, Private Wealth Management and Corporate Treasury as well as with Compliance, Legal, Operations, Engineering, Risk, Finance and Audit stakeholders
Knowledge of SEC, CFTC & NFA swap regulations is preferred to uplift the compliance program and assist the firm's swap dealing entities and their Chief Compliance Officers (CCOs) satisfy their obligations under relevant rules
Responsibilities:
- Advise and implement enhancements to the overall Swap Dealer Compliance Program, including policies and procedures
- Assist in responding to regulatory inquiries, audits, examinations and investigations, and liaising with regulators (SEC, CFTC & NFA)
- Assist with the development and maintenance of management reporting for Boards of Directors, CEOs and other senior stakeholders at the firm
- Support the CCOs in administering their duties to overseeing the firm's Swap Dealer Compliance Program
- Assist in managing conflicts of interest and other issues that may arise in running the Swap Dealer Compliance Program
- Review and educate internal stakeholders on regulatory updates and engage in advocacy and industry discussions on swap dealer matters
- Advise the business on regulatory requirements, developments and expectations across the swap dealer regimes including swap data reporting, business conduct, margin among other areas
- Serve as an escalation point and assist in remediating non-compliance issues
- Assist in drafting CCO annual reports for the firm's swap dealer, futures commission merchant and security based swap dealer entities
- Assess the effectiveness of the relevant CFTC, NFA and SEC rules on a periodic basis together with obligations, risks and controls, including risk assessment activities
- Assist in developing monitoring and testing to review and challenge controls and implementation of obligations with Compliance and business teams, and work with Audit on their ongoing reviews
- Assist with the development of training for Associated Persons of the swap dealer and security-based swap dealer to educate and remind those employees of their obligations and expected behaviors
- 5+ years' experience in and knowledge of CFTC, SEC, NFA swap dealer regulations
- Experience writing and implementing policies and procedures, management information and reports
- Product knowledge and regulatory experience within the OTC derivatives and securities-based swaps businesses a plus
- Assist with the monitoring, and testing of compliance programs
- Strong interpersonal skills and the ability to manage processes and drive change and accountability with key internal stakeholders
- Effective communicator with senior stakeholders both verbally and written, including experience delivering trainings
- Work effectively with personnel in different office locations and in different time zones
- Exceptional attention to detail and strong analytical skills
- Proficiency in Excel, PowerPoint, and Microsoft Office
- Bachelor's degree level educated within a relevant field
- JD preferred but not required
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow
Founded in 1869, we are a leading global investment banking, securities and investment management firm
Headquartered in New York, we maintain offices around the world
We believe who you are makes you better at what you do
We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs
Learn more about our culture, benefits, and people at GS.com/careers
We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process
Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
© The Goldman Sachs Group, Inc., 2023
All rights reserved
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity
Salary Range
The expected base salary for this New York, New York, United States-based position is $115000-$250000
In addition, you may be eligible for a discretionary bonus if you are an active employee as of fiscal year-end
Benefits
Goldman Sachs is committed to providing our people with valuable and competitive benefits and wellness offerings, as it is a core part of providing a strong overall employee experience
A summary of these offerings, which are generally available to active, non-temporary, full-time and part-time US employees who work at least 20 hours per week, can be found here
-
VP Compliance Testing Swap Dealer
18 hours ago
New York, United States Experis Full timeOur top banking client is seeking a Vice President of Compliance Monitoring & Testing (Swaps) to join their office in New York City. This position will play an integral role in the development of the Monitoring and Testing program, and will have coverage over the banks Swap Dealer Operations. Job Title: Vice President, Compliance Monitoring &...
-
New York, United States TD Bank Group Full timeWe are working to deliver a legendary mobile experience. If your experience is less than optimal, please visit us on a desktop or laptop. **Vice President Swap Dealer and SBSD Compliance, TD Securities** 349440BR Securities / Wholesale Banking New York , NY February 15, 2022 **Company Overview** TD Securities provides a wide range of M&A advisory,...
-
Swap Dealer Compliance Officer
1 month ago
New York, United States Societe Generale SA Full time**Welcome to the Societe Generale Careers website.** Swap Dealer Compliance Officer Permanent contract| New York| Compliance **Swap Dealer Compliance Officer** New York, United States Permanent contract Compliance ** Responsibilities** * Recommend and implement changes to the Swap Dealer and SBSD Compliance Programs, relevant policies and procedures on an...
-
Swap Dealer Compliance Associate
2 weeks ago
New York, United States Phaxis Full timeCurrently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...
-
Swap Dealer Compliance Associate
3 weeks ago
New York, United States Phaxis Full timeCurrently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations. Responsibilities: Lead compliance efforts for...
-
Swap Dealer Compliance Associate
1 week ago
New York, United States Phaxis Full timeCurrently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...
-
Swap Dealer Compliance Associate
1 month ago
New York, United States Phaxis Full timeCurrently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...
-
Senior Manager, US Audit, Swap Dealer Compliance
4 weeks ago
New York, United States scotia.design Full timeTitle: Senior Manager, US Audit, Swap Dealer Compliance Requisition ID: 93952 Join the Global Community of Scotiabankers to help customers become better off. The Audit Department is the 3rd Line of Defense and plays a key role in the internal control system of the Bank. Its mandate is to provide independent and objective assurance over the design and...
-
Broker Dealer Compliance
2 weeks ago
New York, United States The PeterSan Group and PeterSan Legal Staffing Full timeWe represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer...
-
Broker Dealer Compliance
3 weeks ago
New York, United States The PeterSan Group and PeterSan Legal Staffing Full timeWe represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer...
-
Broker Dealer Compliance
3 weeks ago
New York, United States The PeterSan Group and PeterSan Legal Staffing Full timeWe represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer...
-
Senior Vice President, Compliance
4 weeks ago
New York, United States The Bank of New York Mellon Corporation Full timeVice President, Manager, Compliance, Control, President, Senior, Management, Banking
-
Vice President Compliance Monitoring
1 month ago
New York, United States Coda Search│Staffing Full timeJob DescriptionThis Vice President – Compliance Monitoring and Testing The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe.Compliance Monitoring and Testing Execute the annual Compliance testing and monitoring plan Determine scope of...
-
Vice President Compliance Monitoring
2 weeks ago
New York, United States Coda Search│Staffing Full timeJob DescriptionThis Vice President – Compliance Monitoring and Testing The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe.Compliance Monitoring and Testing Execute the annual Compliance testing and monitoring plan Determine scope of...
-
Vice President Compliance Monitoring
1 month ago
New York, United States Coda Search│Staffing Full timeJob DescriptionThis Vice President – Compliance Monitoring and Testing The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe.Compliance Monitoring and Testing Execute the annual Compliance testing and monitoring plan Determine scope of...
-
New York, United States Barclays Full time**Securitized Products Business Oversight Compliance Assistant Vice President** **New York, NY** As a Barclays Securitized Products Business Oversight Compliance Assistant Vice President (AVP), you will be accountable for effectively implementing the Compliance program by primarily providing daily and project-based regulatory and compliance oversight. While...
-
Vice President Compliance
2 weeks ago
New York, United States Social Capital Resources Full timeTop-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their middle office banking team!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks Maintain business line and support function policies and procedures addressing compliance...
-
Vice President Compliance
4 weeks ago
New York, United States Social Capital Resources Full timeTop-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their middle office banking team!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks Maintain business line and support function policies and procedures addressing compliance...
-
Vice President Compliance
4 weeks ago
New York, United States Social Capital Resources Full timeTop-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their middle office banking team!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks Maintain business line and support function policies and procedures addressing compliance...
-
Compliance Officer
3 weeks ago
New York, United States Deutsche Bank Full timeCompliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets - Vice President Job ID:R0327387 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2024-04-26 Location: New York
