Markets Compliance Officer (fx And Sales) - Vice President

Workforcity

Compliance risk management framework
Monitoring compliance risk behaviors
Regulatory inquiries coordination
Serves as a function/business/product compliance risk officer responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise

Job Summary

  • Serves as a function/business/product compliance risk officer responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.
  • Collaborates with internal areas including Legal, Business Management, Operations, Technology, Finance, other Control Functions, and In-Business Risk to address compliance issues impacting the supported function/business/product.
  • Supports the function/business/product by performing timely compliance reviews of new products and assists in the development and administration of Compliance training.

Matching Summary

Serves as a function/business/product compliance risk officer responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.

Skills & Requirements

Must-have

  • Compliance risk management framework
  • Monitoring compliance risk behaviors
  • Regulatory inquiries coordination
  • Transactional approvals and policy interpretation
  • Compliance training development
  • Advanced analytical skills

Nice-to-have

  • Trading floor compliance experience
  • Strong interpersonal skills
  • Project management and organizational skills
  • Ability to work collaboratively and independently
  • Proficient in MS Office applications

Key Requirements

  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • Bachelor’s degree
  • Experience in compliance, legal or control-related function
  • Strong working knowledge of supported function/business/product
  • Advanced degree preferred

Work Rights

Not specified

Tailored Resume

Cover Letter