Summary Global Markets Regulatory Compliance (“GMRC”) Advisory - Americas Director is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions. Key Responsibilities: · Responsible for the ongoing development, implementation and refinement of a comprehensive 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. · Continually 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. 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 FINRA, SEC, NFA, and CFTC. Salary Range: $190k - $220k #LI-DNI 8+ years prior compliance advisory experience, including interaction with US regulators. Experience in managing a small team of compliance officers Bachelors degree required JD preferred
Were looking for a skilled individual to coordinate flight operations, ensuring the smooth dispatch and management of aircraft in compliance with industry standards. This role offers a dynamic environment where youll develop your skills and contribute to the success ...
...booking platforms.8.Discretion and professionalism in handling sensitive information. Key Responsibilities:1.Maintain and update the CEO's calendar, ensuring all meetings, appointments, and events are accurately recorded and prioritized.2.Coordinate with internal and...
...Manager over IT Infrastructure REMOTE but must be located in Dallas/Ft Worth $130K-$140K As a Manager of Information Technology, you will lead innovative IT strategies and solutions to drive our organization's success. You will oversee technology operations...
...DESCRIPTION As a Supply Chain Manager you will own defining and executing a Supply Chain Roadmap with several of our largest and most... ...you are going to help redefine Supply Chain to align it with Amazon procurement systems and to bring collaboration with strategic...
...and oil and gas. Combining economic success with environmental and social responsibility, their operations span major chemical manufacturing sites, R&D, sales, marketing, supply chain, business development, HR, procurement, and environmental health and safety. Serving...