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Support the assessment of the current state of Regulatory Compliance to CFTC Swap Dealer rules focussing on areas of non-substituted compliance
Support a programme of work to analyse gaps and enhance Swap Dealer compliance framework to leading/best practice across functions as appropriate
Engage with key stakeholders and functions to support them in their compliance programs
Support the determination of additional monitoring and testing required through the assessment of existing practice
Review and analyse compliance monitoring reports and other related source documents for suspicious/unusual patterns of activity. Follow-up with responsible area for explanations and discussions for appropriate action.
Key objectives critical to success:
Ability to work well under pressure and balance multiple conflicting demands
Ability to clearly define, agree and communicate priorities
Ability to develop and maintain strong and mutually supportive working relationships both within Compliance and with external stakeholders
Ability to critically analyse processes, procedures and policies, identifying, proposing and implementing enhancements
Ability to adapt quickly to internal and external change
Strong analytical, written and communication skills
Ability to implement change
Ability to operate within our regulatory and internal risk frameworks
Ability to implement, evidence and maintain strong control processes
Skills, experience, qualifications and knowledge required:
Understanding of Swap Dealer business front to back (e.g. derivatives Front office to back office)
Undertaking of regulatory/business reviews or regulatory projects
Working across different bank functions -e.g. FO, Risk, Compliance, Ops