Established global financial firm is seeking a Compliance Officer who 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
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)
- Assist with and develop controls, monitoring and surveillance of Americas Treasury Department activities
- Assist with ATD (Americas Treasury Department) communications monitoring
- Assist with and develop ATD related trainings
- Assist with various risk assessments covering the ATD, 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:
- Bachelor’s Degree (B.A./B.S.) in a related discipline
- 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
