The new addition to the team needs to be well-versed with Swap Dealer compliance and have experience adhering to the various regulations. In this role you will join a team who independently assesses the overall control environment, improves the control environment, improves on the internal audit process and shares their findings to key stakeholders. Experience in trading functions, specifically swap dealer rules and regulations, is highly preferred.
Key Responsibilities:
- Maintain a relevant understanding of the firms and greater Swap Dealer programs, regulations and changes.
- Lead, execute, and document various audit activities throughout the audit lifecycle.
- Make recommendations, provide guidance, and communicate effectively across various seniority levels, with regulators and teams, ultimately creating relationships both internally and externally.
- Develop, Update, and Verify various audit engagements ensuring timeliness, accuracy, and compliance with regulatory requirements.
Qualifications:
Education:
- Bachelor's degree in a relevant discipline; or higher
Experience:
- 8-10 years of professional risk, compliance or audit experience.
- Experience with and/or understanding of Swap Dealer compliance requirements, Swaps and other Derivative products.
