Compliance Advisory, Swap Dealer - VP

An international bank located in Midtown Manhattan looking to bring on board a "Compliance Advisory, Swap Dealer - VP" to join their team. This role is currently operating under a hybrid schedule (1 day in office per week). Responsibilities:• Serves as the examiner-in-charge responsible for all facets of compliance M&T engagements.• Assists in the development and refinement of M&T monitoring scripts.• Prepares information requests and announcement memoranda.•Performs assigned field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments.• Performs Control Design Effectiveness analysis and review of the applicable rules and regulations.• Ensures that cohesive work papers are prepared for each engagement in accordance with department standards.Identifies underlying issues and escalation validation thereof with stakeholders.• Drafts issue memoranda and reports for issuance to management.•Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts.• Stays abreast of changing regulatory requirements and the business model to maintain a solid foundation of the applicable regulatory framework.• Participates in the annual risk assessment process of applicable laws and regulations.

Created: 2025-02-14