Markets Compliance Officer (fx And Sales) - Vice President

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Compliance laws rules regulations
Trading floor compliance experience
Risk management framework
Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation

Job Summary

  • Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation.
  • Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function/business/product rules/laws and interpretation on internal policies and procedures.
  • Assisting with regulatory inquiries and/or examinations, which may include coordination with regulators and other parties.

Matching Summary

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation.

Skills & Requirements

Must-have

  • Compliance laws rules regulations
  • Trading floor compliance experience
  • Risk management framework
  • Independent Compliance Risk Management
  • FX and Sales compliance

Nice-to-have

  • Self-starter flexible innovative adaptive
  • Strong interpersonal skills
  • Work collaboratively and independently
  • Navigate a complex organization

Key Requirements

  • Bachelor’s degree
  • Experience in compliance, legal or other control-related function
  • Advanced degree preferred

Work Rights

Not specified

Tailored Resume

Cover Letter