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Location New York, United States Category Risk & Governance Date posted 13/01/2021 Job ID 2100158
VP, Compliance-Securities Based Swap Dealer -2100158

Description

Responsibilities:

  • Responsible for review/testing of swap dealer and potential other trading related processes
  • Obtaining and reviewing Key Performance Indicators for swap dealer activity
  • Monitoring trading for market abuse (not necessarily specific to swap dealer)
  • Liaising with Head Office on swap dealer activity
  • Interacting with appropriate trading desks and Front Office business control officers to ensure adherence to regulatory requirements
  • Tracking testing and regulatory action drivers

At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams. We encourage everyone to apply.

Qualifications

  • Minimum 5 years of compliance testing or audit experience
  • 3+ years of work experience in Investment Bank and Capital Markets business
  • Knowledge or Background of Dodd-Frank Act, Securities Exchange Act, Commodity Exchange Act and the CFTC and SEC Regulations, and FINRA and NFA Rules
  • Swap related experience or background
  • Ability to develop test plans and independently coordinate and complete testing in a timely manner
  • Strong Critical Thinking and Problem Solving Skills
  • Ability to work cooperatively with other members of the team and the department
  • Ability to analyze complex laws and regulations

Job

:Compliance

Primary Location

:New York-New York-45 East 53rd Street - 06547 - NY Corp

Organization

:SIS Legal & Compliance (SIS_0038)

Schedule

:Full-time

Job Posting

:Jan 12, 2021, 10:12:07 PM

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  • Risk & Governance, New York, New York, United StatesRemove