Head of Swap Dealer, Volcker

1 week ago

Manhattan, United States Larson Maddox Full time

Job Title - Head of Swap Dealer, Volcker & IB Regulatory Governance

Where - Weehawken or NYC

Structure - 3 days in office / 2 days WFH

THE ROLE:

  • Expertise in CFTC Swap Dealer and SEC Security-Based Swap Dealer rules.
  • Leading a global team that oversees regulatory requirements and control frameworks.
  • Has experience providing advisory guidance for complex regulations, conducting risk assessments, testing and regulatory implementation.

RESPONSIBLITIES:

  • Lead the Swap Dealer, Volcker and IB Bank Branch Regulatory Governance team within IB Compliance and Operational Risk Control (IB C&ORC)
  • Provide advisory guidance and support to firm-wide stakeholders on queries regarding rule interpretation, product classification, and client eligibility, etc.
  • Provide the business with controls, tools, training, frameworks, information and insights required to manage risk
  • Ensure risk frameworks are well-designed and operating effectively
  • Plan, coordinate and execute annual testing for the CFTC Swap Dealer, Security-Based Swap Dealer, Volcker, and IB Bank Branch
  • Draft and issue impactful reports setting out findings, conclusions, ratings and remedial actions
  • Manage the reporting of regulatory trends, non-financial risk issues, and testing results, to Swap Dealer and Volcker governance forums
  • Draft and implement the execution of the annual rules-based Compliance Risk Assessments
  • Perform second line of defense monitoring of processes that impact compliance with Swap Dealer, Volcker and Banking regulations
  • Draft IB C&ORC responses for Swap Dealer and Volcker regulatory examinations and internal audits, including driving associated remediation with relevant stakeholders
  • Act as secretary of the Dodd-Frank Oversight Committee
  • Draft the CFTC Swap Dealer, Security-Based Swap Dealer, and Volcker Annual Compliance reports

THE TEAM:

  • The Swap Dealer Regulatory Governance team, within Investment Bank Compliance & Operational Risk Controls (IB C&ORC) is a US-based team is responsible for conducting thematic reviews.
  • You'll be managing a team of 20 professionals within the Swap Dealer, Volcker, and IB Bank Branch teams within IB C&ORC.

YOUR EXPERTISE:

  • Experience in Swap Dealer, Security-Based Swap Dealer, and Volcker Compliance
  • 10+ years of experience in the financial services industry
  • University degree in finance, economics, business administration or numerical discipline
  • J.D., M.B.A. or other relevant advanced degree a plus
  • Experience managing large teams across product areas

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