AVP Swap Dealer Compliance job in New York City, NY| Recruit Arrow
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Title
AVP Swap Dealer Compliance
Location : New York, New York City
Refer job # LSLF337898
 
Job Responsibilities and Requirements: Manager Regulatory Compliance Officers are aligned by regulation(s), regulatory requirements, and/or a particular set of compliance risks and provide compliance support to the first and second lines of defense across relative to assigned regulation(s), regulatory requirements and/or compliance risks. Identifies any possible compliance deficiencies related to assigned regulation(s), regulatory requirements, and/or compliance risks, and may proactively implement corrective actions to help ensure adherence. This individual may interact with relevant regulatory agencies to understand impact of changes to applicable regulations on all relevant lines of business. Impact on the Business Assists with providing advisory services and direction to all business and support areas regarding assigned regulations, regulatory requirements and/or compliance risks. Under general supervision, works with management and the line of business MCOs, RC Compliance Officers in the development and enhancement of products to ensure compliance with applicable laws and regulations. Provides assistance in the development and maintenance of supporting policies, procedures, agreements, and contracts. Assists management and the line of business LCOs in identifying and containing compliance risk, monitoring, reporting, and certification, fostering a compliance culture and optimizing relations with regulators. Prepares summaries on compliance with assigned regulation(s), regulatory requirements, and/or compliance risks for senior management, and/or Committees/Boards or Executives as required. Customers / Stakeholders Fosters positive working relationships with business line management, internal control and appropriate senior management stakeholders to support adherence to assigned regulation(s), regulatory requirements, and/or compliance risks. Offers guidance and advice to appropriate stakeholders as needed. Liaises with line of business MCOs, RC Compliance Officers, Business Risk Control Managers (BRCMs) and other Compliance stakeholders to ensure a strong second line of defense and in support of first line of defense efforts and responsibilities. Assists with monitoring, in coordination with the line of business LCOs, the status of any related material compliance issues identified and reported by 1st, 2nd and 3rd line of defense, regulators and provide updates to business unit management as necessary. Leadership & Teamwork Promotes an environment that supports diversity and reflects the HSBC brand. Operational Effectiveness & Control Develops and maintains annual planning for team, oversees progress and supports team in carrying out function responsibilities, prepares progress summaries for senior management, and/or Committees/Boards or Executives as required Develops and maintains team action plans for complex, non-recurring team responsibilities, oversees progress and supports team in carrying out tasks, prepares progress summaries for senior management, and/or Committees/Boards or Executives as required Generate Program and Project reporting including status updates for Senior Management Maintains awareness of major regulatory changes affecting area of subject matter expertise and coverage. Follows prescribed issue escalation protocols, monitors and surveys business activities Complete other responsibilities, as assigned. Carries out impact analyses and advises on regulatory change; drives co-ordination and execution of the various Regulatory Compliance change work streams and embeds Operating Model changes while ensuring alignment with Global Standards Excellent Written, Presentation and Communication Skills and ability to manage and influence across teams Major Challenges Provides support to ensure business lines appropriately incorporate change to align with new or revised regulatory requirements. Supports business lines and RC Compliance Officers in development of solutions to ensure compliance with assigned regulation(s), regulatory requirements, and/or compliance risks. Helps to ensure future business growth is attained in a responsible and conscientious fashion while the operation remains regulatory compliant and commercially sound. Role Context Sets priorities and makes day-to-day decisions independently. Escalates matters to senior management as needed. Track project performance, specifically to analyze the successful completion of short- and long-term goals Develop comprehensive project plans to be shared with clients as well as other staff members Facilitate coordination with cross-functional teams. Develop and maintain program/project plans, ensure on-time quality delivery of projects and activities assigned. Facilitate coordination with cross-functional teams. Under the direction of a more senior officer, serves as a subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US.
 
Contact the Following Recruit Arrow Office:
Los Angeles
202 S Lake Ave, Unit 250
Pasadena, California 91101
Email: jobs@recruitarrow.com
 
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