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Compliance Director - Advisory - Securitized BDSD
Governance
New York, United States
220,000 USD
17 Mar 2025
Job Description
Compliance Director, Security-Based Swap Dealer
NYC – Hybrid
Hamlyn Williams has partnered with one of the largest foreign investment banks, based in NYC, NY that are looking to bring on a Compliance Director, Security-Based Swap Dealer to their growing team.
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, Security-Based Swap Dealer, you will:
NYC – Hybrid
Hamlyn Williams has partnered with one of the largest foreign investment banks, based in NYC, NY that are looking to bring on a Compliance Director, Security-Based Swap Dealer to their growing team.
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, Security-Based Swap Dealer, you will:
- Lead the implementation of the security-based swap dealer compliance program, recommending improvements to enhance its effectiveness, and support responses to regulatory inquiries, audits, examinations, and investigations.
- • Manage and assist with coordinating compliance regulatory examinations, overseeing the response process.
- • Create and maintain policies and procedures to ensure adherence to relevant regulatory requirements.
- • Assess business unit risks and the effectiveness of mitigating controls, reducing the potential for reputational damage, regulatory consequences, and other operational risks through a comprehensive surveillance and monitoring program.
- • Offer guidance on applicable regulations, internal policies, and procedures to internal stakeholders, including trading, sales teams, and key support functions.
- • Support the CCO in managing the Bank's security-based swap dealer and swap dealer compliance programs.
- B.S. Degree, JD is nice to have
- 8+ years of compliance advisory experience, including interaction with US regulators.
- 4+ years of experience with people management
- In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of SEC, CFTC and NFA rules and regulations applicable to swap dealers.
- Must know of all Capital Markets swap products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and deliver channel needs.
- Must be a U.S. Citizen OR Greencard Holder
Skills
Compliance Advisory
Job Reference
165231
Date Posted
17 Mar 2025
Industry
Investment Banking
Category
Legal & Compliance
Role
Regulatory Policy Advisor, Risk & Compliance (GRC) Specialist, Regulatory Compliance Officer, Financial Security Compliance Officer
Level
Principal-Level
Employment
Permanent
Working Location
Hybrid
Salary/Rate
220,000 USD
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