Volcker/Americas Treasury Department, Compliance (Finance)
The individual will be joining the Volcker Compliance and Americas Treasury Department Advisory team. The candidate will also have the opportunity to work on other projects as needed.
This role is hybrid and based in our New York City Office
Essential Duties and Responsibilities:
Assist with the assessment of the current Volcker Compliance program and identify opportunities for improvement, increasing efficiency, and ensuring that the firm meets regulatory expectations and industry best practice
Assist with Metrics reporting and governance process (i.e. review and challenge, monitoring, maintenance of trading information schedule, drafting of narrative statements with relevant stakeholders)
Facilitate the administration of the Monthly Working Group meetings for the various entities (i.e. calendar invites, prepare decks, note taking)
Americas Treasury Department (ATD) Compliance coverage
Assist with and develop controls, monitoring and surveillance of Americas Treasury Department activities
Assist with ATD communications monitoring
Assist with and develop ATD related trainings
Assist with various risk assessments covering the Americas Treasury Department, identify potential risks, ensure adherence to controls and improve the supervisory control framework
Assist in Regulatory Change Management Process. Keep abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
Assist in review and enhancement of policies and procedures
Assist with audits and testing reviews (i.e. tracking requests, gathering required information, following up with other stakeholders as needed)
Perform other duties and responsibilities as assigned.
Qualifications:
5-7 years in the financial services industry, ideally with particular emphasis on Volcker, Corporate Treasury activities, Bank regulations compliance, derivatives regulations and cross border activities
Exposure to and experience working with support and control functions
Knowledge of the Volcker Rule (and metrics reporting requirements) required
Knowledge of -Bank regulations, Commodity Futures Trading Commission (CFTC) regulations and Securities Exchange Commission (SEC) rules a plus.
Strong organizational and delivery skills
Excellent written, verbal and analytical skills with the ability to express ideas in a persuasive, confident, organized, concise, clear and articulate manner
Must be a self-starter, flexible, innovative, adaptive and highly motivated with a strong attention to detail.
Fluent in Japanese a plus
Education:
Bachelor's Degree (B.A./B.S.) in a related discipline
The expected base salary ranges from $125,500.00 - $200,000.00. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, including but not limited to Medical, Dental and 401k that begin on day one of employment, successful candidates are also eligible to receive a discretionary bonus.
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