Summary As a Director in the Global Markets Regulatory Compliance (“GMRC”) Advisory team at CACIB, you will play a critical role in advising internal stakeholders on the implementation and development of compliance requirements set forth by the SEC for security-based swap dealer and CFTC and NFA for the swap dealer. This position is integral to enhancing the overall swap dealer program and implementing the security-based swap dealer program. You will engage with Global Markets Division as well as collaborate with Legal, Operations, Risk, IT, Finance and IGE stakeholders. In this role, you will be responsible for implementing security-based swap dealer compliance program, advising enhancements to the swap dealer compliance programs, assisting in responding to regulatory inquiries, audits, examinations and investigations. Your expertise in SEC, CFTC and NFA swap regulations will be essential in establishing the security-based swap dealer compliance program and assisting the Bank in meeting its regulatory obligations. Key Responsibilities: · Responsible for the ongoing development, implementation and refinement of a comprehensive security-based swap dealer compliance program. · Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations. · Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements. · Communicate new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance. · Assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk through a surveillance and monitoring program. · Design, implement and maintain Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk. · Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions. · Evaluate new products and activities to ensure compliance issues are identified and remediated. · Support the CCO in administering his/her duties to overseeing the Bank's security-based swap dealer and swap dealer compliance program. · Contribute to the preparation of the annual CCO report exercise Key Internal contacts o All GMD business units o Legal department o Audit department o Risk departments and o Operations departments. Key External contacts The Firm's regulators, including but not limited to SEC, NFA, and CFTC. 8+ years prior compliance advisory experience, including interaction with US regulators. Experience in managing a small team of compliance officers NFA SPR (or ability to complete upon employment) Bachelors Required JD preferred
...technical support and expertise to District government agencies in fulfilling language access initiatives in document translations, cultural diversity training for District agency employees, diversification of agency workforce, and community partnerships and outreach....
React Developer with Java Chicago IL (Within 45 Miles) Experience: 8+ Years Roles and responsibilities : UI Skills: React JS, CSS3, Typescript Back end: Java 21, Spring boot, SQL, No SWL, Restful API AWS would be a plus
...Senior Flight Software Engineer Torrance, CA Relocation Assistance Provided The Company Our clients mission is to expand humanitys frontier into the solar system and beyond. The next step on this journey is to enable manufacturing and habitation in Low...
...Job Summary: As the Pharmacist, you are a professional who responds to requests for preparing and dispensing medications and other... ...Outpatient, Correctional Health, RTI, Psychiatric Institute, or Oncology. Work is subject to shift assignment and weekend/holiday rotation...
EHS Specialist Safety Manager needs 5+ years' with construction industry experience EHS Specialist Safety Manager requires: A bachelor's degree in Occupational Health and Safety, Environmental Science, or a related field is typically required. Professional certifications...