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1. Internal Controls and Compliance Program: covers enhancements, including:
Global Markets businesses (FX Local Markets ("FXLM"), Commodities, Rates)
Conduct Program; and
Compliance and RISK
2. Compliance Risk Management Program: covering 2nd Lines of Defense ("LoD") (notably Compliance and RISK Operational Risk & Control or "RISK ORC"
3. Controls Review: covering a review of compliance policies and procedures with an appropriate risk-focused sampling of key controls (to be performed by IG/Internal Audit)
Develop and enhance compliance testing programs for specific business units and products based upon applicable laws, regulations, industry guidelines or codes, and internal policies.
Conduct compliance testing reviews under the direction of the Compliance Independent Testing ("CIT") management in order to assess and review compliance with legal, regulatory and internal firm policy requirements.
Escalate potential issues and exception items noted during the review process to CIT management for discussion and further investigation if deemed necessary.
Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period.
Ensure that all findings and recommendations are entered into the reporting & issue tracking system for tracking purposes and perform periodic follow-up of open issues to ensure proper resolution.
Conduct ad hoc testwork of various rules and regulations in conjunction with the annual CEO/CCO Certifications.
Conduct or assist with special investigations and projects as deemed necessary by senior Compliance and business management.
Assist in compliance related matters during examinations by the Firm's regulators and internal auditors.
Minimum Required Qualifications
8 – 10 years of experience with a financial services firm, regulatory agency, and/or self-regulatory organization in a compliance, internal audit, or examiner related position.
BA or BS Degree a must.
Strong knowledge of U.S. securities, commodities, and banking regulations, including the rules and regulations of the SEC, CFTC and all exchanges and associations under such federal agencies, including FINRA, NYSE, CBOE, ISE, CME, NYMEX and ICE US. Such knowledge should also include Volcker and CFTC Swap Dealer requirements.
Strong ability to apply knowledge of rules and regulations to numerous types of trading activities and operational arrangements in addition to interpreting the effect of new regulations on these activities.
Strong knowledge of FX, Rates, and Commodities products.
Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
Strong writing skills.
Excellent execution skills with the ability to work successfully under demanding deadlines in a change management environment and the ability to manage multiple compliance testing reviews and projects at the same time and meet deadlines.
Strong analytical and investigative skills.
Problem solving and root cause identification skills.
Acute business acumen and understanding of organizational issues and challenges
Strong organizational and project management skills and attention to detail.