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.
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