Lead compliance oversight for the Pan European Citco entities. Build stakeholder relationships and manage compliance risks across the organization.
About the role
- Markets Compliance Testing Officer executing compliance testing at MUFG with regulatory compliance focus. Collaborating with global business partners and assessing compliance controls in financial sectors.
Responsibilities
- Assess the adequacy of first- and second-line of defense controls and prepare reviews for senior management detailing assessment of the effectiveness of the Compliance program for in-scope Markets rules.
- Conduct analysis related to laws, rules, regulations and best practices related to the Markets Compliance program.
- Assist Compliance Testing teams from EMEA and APAC with advisory coverage of the relevant U.S. Markets regulations.
- Assist in responding to regulatory inquiries, audits, examinations and investigations.
- Work either independently or as part of a team in executing test programs and supervise and review the work of others that may be assisting on a review.
- Identify control and compliance issues, assess, and document the related risk, identify the root cause, and make reasonable recommendations for resolution.
- Responsible for ongoing communication with “clients” throughout the testing process to keep them apprised of progress and findings.
- Write clear, concise, and analytical evaluation reports and other workpapers summarizing level of risk, scope, objective, findings, and recommendations, consistent with the established procedures and templates.
- Adhere to the Bank’s risk vision, and risk management policies and programs, and identify and effectively manage risks associated with activities in the business lines we support.
- Responsible for the establishment or enhancement of test or review programs associated with Markets compliance and internal program standards.
- Lead complex compliance reviews.
Requirements
- Strong academic credentials – minimum BA or BS degree from an accredited university; Master's degree preferred, professional qualification such as Certified Financial Analyst (CFA), Financial Risk Manager (FRM), Certified Regulatory Compliance Manger (CRCM), Certified Internal Auditor (CIA), or other related professional certification preferred.
- Minimum of 5 to 7 years’ experience in audit, regulatory examination, compliance testing, or similar capacity.
- Minimum of 3 to 5 years’ experience within the banking and financial sector, with a focus on Federal and State laws, regulations, and supervisory guidance, risk management, or a combination of these disciplines within Front Office and support functions such as Risk Management / Compliance Governance Programs, Human Resources, Finance, Legal, etc.
- Familiarity with applicable SEC, FINRA, CFTC, NFA, FRB, and international banking rules applicable to foreign banks.
- Knowledge and understanding of the Dodd-Frank Act Title VII as it pertains to the obligations of Swap Dealers and Security-Based Swap Dealers and Volcker rule.
- Experience working in a global organization, particularly as concerns global markets activities and familiarity with systems for booking, reporting and recording of derivatives transactions.
- Strong overall knowledge of Over-The-Counter (OTC) derivatives products across Rates, Credit, Foreign Exchange, Equities and Commodities.
- Strong understanding of trading strategies as it pertains to Global Trading desks
- Experience with drafting and implementing testing scripts.
- Solid research, analytical and writing skills required.
- Ability to analyze processes and identify risk including assessing changes in processes, making recommendations, and communicating results both verbally and in writing.
- Demonstrate knowledge of and be sensitive to the current regulatory environment.
- Strong work ethics and capacity to act both as an individual contributor who is self-motivated and to serve as a team member.
- Ability to multi-task and work in a dynamically changing environment.
- Demonstrated ability to develop and maintain cooperative, collaborative, and productive business partnerships.
Benefits
- comprehensive health and wellness benefits
- retirement plans
- educational assistance and training programs
- income replacement for qualified employees with disabilities
- paid maternity and parental bonding leave
- paid vacation
- sick days
- holidays
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Compliance Manager overseeing compliance controls and advisory for Kepler Cheuvreux in Paris. Responsible for managing non - compliance risks and guiding junior staff while utilizing automation tools.
Employee Health & Benefits Regional Compliance Specialist ensuring compliance with health and welfare regulations. Conducting client reviews, training sessions, and collaborating with national compliance partners.
Junior Compliance Officer at DXC managing compliance with regulations and standards across teams. Focus on governance, risk, and technology to improve processes and support teams.
Quality Technician at Henry Schein ensuring compliance with ISO 9001 through quality system maintenance and audit participation. Collaborating across departments for effective quality management in healthcare.
Regulatory Affairs Specialist managing complex product registrations and compliance in LATAM. Collaborating with regulatory authorities and providing documentation for approvals in the food sector.
Regulatory Specialist enabling compliant innovation and successful market access in health and biosciences across Latin America. Collaborating with various teams to ensure regulatory compliance and successful product launches.
Compliance Manager at TD Bank overseeing regulatory compliance for Digital Banking and vendor oversight. Leading compliance monitoring and providing guidance on regulatory requirements with a focus on consumer banking.
Senior Analyst in governance of accesses ensuring critical access requests at Riachuelo. Responsible for data governance and risk control strategies in São Paulo.
Compliance Analyst ensuring adherence to legal and company standards at Copa Energia, monitoring training programs and supporting data protection compliance.