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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



  • 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.


  • 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



Primary Location

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


:SIS Legal & Compliance (SIS_0038)



Job Posting

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

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