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
...Role 1 Junior Network Engineer /Lab Infra engineer Work Location - East Goshen, West Chester , PA Candidate should come with networking background/technician. Responding to customer inquiries and conducting network surveillance. Examining network layer...
...individuals to join our team as Junior Business Management Trainees, and weve found that... ...mindset that are key to thriving in our entry-level sales and marketing positions. Whether you... ...apply; however, the following majors, degrees, and experiences are the best matches: marketing...
...Job Summary Job Description What is the opportunity? This is a Mulesoft Engineering Role, requiring current, strong experience with developing middle tier applications using Mulesoft. You will partner across IT and with assigned business line(s) to assess,...
...Pay: $5,000 Sign On Bonus $30 - $50 per Hour Responsibilities: HAVAC/R Technicians Will Maintain, Repair, and Install: Boilers Central Air Conditioners Furnaces Heat Pumps Refrigeration Systems Qualifications: Must Reside In The Greater...
Job in ShenzhenJob Responsibilities1.Identify functional problems of voice assistant according to test cases and provided words;2.Assist R&D and track problems and promote timely and reasonable problem solving;3.Prepare test reports and test data analysis reports ...