Senior Monitoring & Testing Compliance Assurance Officer reporting to the U.S. General Counsel and the Global CCO
HYBRID - 2 days a week onsite in Stamford, CT.
This position will lead the compliance assurance team responsible for assessing compliance risks and controls implemented by the first and second lines of defense for Swap Dealer & Broker Dealer business lines.
The candidate will work to design an effective Compliance Assurance testing program and will be responsible to lead the program monitoring and assurance reviews to identify potential breaches of regulatory requirements and firm's compliance policies, as well as to determine if key controls in place to mitigate the risk of non-compliance with compliance risk are adequate & effectively.
The role will also be responsible for reporting & escalating controls issues & any violations of laws or policy; and ensuring adequacy of remediation taken to address reported issues.
Experience:
10+ years of global compliance and audit related experience, and strong knowledge of business processes and IT technologies utilized in the swap-dealer business.
Knowledge of swap dealer regulations, and securities products and compliance including knowledge of CFTC, DTCC, NFA regulation.
Knowledge of broker-dealer and securities processes and business.
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