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Contribute to regulatory oversight of the Rates business, including the development and maintenance of policies and procedures, as well as conducting surveillance and monitoring routines to validate compliance with regulatory requirements
Prepare and present training materials to meet regulatory and firm requirements
Assist in planning and preparation for exams and audits; prepare and gather documents to respond to regulatory inquiries for the Rates business and the Swap Dealer
Assist with the review and documentation of Corporate Compliance requirements, and draft Trigger Management System entries and SHRP items
Contribute to required regulatory reporting to meet specific CFTC and NFA requirements
Liaise with Corporate Compliance to ensure adherence with required standards
Participate in and manage special projects
Liaise with various support partners to provide advice and guidance to the Swap Dealer
Will be located in Charlotte, NC
Internal Number: 5879321
About Robert Walters Associates Inc
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