Swap Dealer Compliance, Vice President

State Street UK

Boston, United States
$110,000 - $207,500 annual; not specified; not spe...
Sec, cftc, nfa swaps requirements
Develop compliance program elements
Engage with business stakeholders
The incumbent will lead the development of relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting, and assist in remediating noncompliance matters

Job Summary

  • The incumbent will lead the development of relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting, and assist in remediating noncompliance matters.
  • The Compliance Department prevents, detects and mitigates compliance, regulatory and reputational risk across State Street and helps to strengthen our culture of compliance through the compliance oversight program.
  • Employees are eligible to participate in State Street’s comprehensive benefits program, which includes our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages; paid-time off including vacation, sick leave, short term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.

Matching Summary

The incumbent will lead the development of relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting, and assist in remediating noncompliance matters.

Salary

$110,000 - $207,500 Annual; Not specified; Not specified

Skills & Requirements

Must-have

  • SEC, CFTC, NFA swaps requirements
  • Develop compliance program elements
  • Engage with business stakeholders
  • Subject matter expert for Swap Dealer
  • Respond to regulatory inquiries

Nice-to-have

  • Strong interpersonal skills
  • Drive change and accountability
  • Effective communicator with senior stakeholders
  • Exceptional attention to detail
  • Strong analytical skills

Key Requirements

  • 5+ years of relevant experience
  • 5-10 years financial services experience
  • JD or MBA degree
  • Knowledge of SEC Security-Based Swap Dealer
  • Working knowledge of Volcker Rule requirements

Work Rights

Not specified

Tailored Resume

Cover Letter