Senior Vice President, Senior Swap Dealer Compliance ...

Senior Vice President, Senior Swap Dealer Compliance Officer About the Company Well-known international wealth management firm & investment bank IndustryInvestment Banking/Venture TypeSubsidiary of a Public Company Founded1962 Employees5001-10,000 Categories Wealth ManagementBankingInvestment BankingConsulting & Professional ServicesFinanceSecuritiesBrokerageInvesting Specialties investment bankingfixed incomeequitiesresearch & strategywealth managementand financial services Business Classifications B2B About the Role The Company is seeking a Senior Vice President, Senior Swap Dealer Compliance Officer to join their team. The successful candidate will serve as a key compliance advisor, responsible for establishing and enhancing internal strategies, policies, procedures, and programs to ensure compliance with U.S. swaps and security-based swaps rules and regulations. This role involves working closely with internal stakeholders on a range of compliance issues, advising on regulatory requirements, and assisting in the management of non-compliance matters. The candidate will also be involved in preparing various compliance reports and presentations, as well as responding to regulatory inquiries and driving remediations with relevant stakeholders. Applicants must be highly motivated, detail-oriented, and possess strong presentation and analytical skills. The role requires the ability to assess complex issues, develop and manage relationships, and have a deep knowledge of swaps and security-based swaps products and markets. A Bachelor's degree and a minimum of 12 years' of experience in a compliance, legal, or other control-related function within the financial services industry are essential. The ideal candidate will have a proven track record of managing compliance programs, be comfortable with change, and have the ability to work with senior stakeholders to drive compliance initiatives. Hiring Manager TitleHead of Swap Dealer Compliance Travel PercentLess than 10% Functions General ManagementOperationsStrategy

Created: 2025-01-30