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Compliance Director - Advisory BDSD
Governance
New York, United States
220,000 USD
17 Mar 2025
Job Description
Compliance Director, Global Markets Regulatory Advisory
NYC – Hybrid
Hamlyn Williams has partnered with a one of the largest banks, based in NYC, NY that are looking to hire a Compliance Director, Global Markets Regulatory Advisory.
This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply.
As the Compliance Director, Global Markets Regulatory Advisory, you will:
As the Compliance Director, Global Markets Regulatory Advisory, you will need:
NYC – Hybrid
Hamlyn Williams has partnered with a one of the largest banks, based in NYC, NY that are looking to hire a Compliance Director, Global Markets Regulatory Advisory.
This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply.
As the Compliance Director, Global Markets Regulatory Advisory, you will:
- Organize compliance regulatory examinations and participate in the coordination of response to these examinations.
- 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.
- Evaluate new products and activities to ensure compliance issues are identified and remediated.
As the Compliance Director, Global Markets Regulatory Advisory, you will need:
- B.S. Degree, JD is nice to have
- 8+ years of compliance advisory experience, including interaction with US regulators.
- 3+ years of experience with people management
- In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC and NFA rules and regulations applicable to swap dealers.
- Must know of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities.
- Series 7, Series 3 and Series 24 are nice to have
- Must be a U.S. Citizen OR Greencard Holder
Skills
Compliance Advisory
Job Reference
165230
Date Posted
17 Mar 2025
Industry
Investment Banking
Category
Legal & Compliance
Role
Legal & Compliance Specialist, Risk & Compliance (GRC) Specialist, Regulatory Compliance Officer, Compliance Assurance Specialist
Level
Principal-Level
Employment
Permanent
Working Location
Hybrid
Salary/Rate
220,000 USD
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