Compliance – Control – Finance and Operating – CF&O – Broker-Dealer Operations – Vice President

Compliance – Control – Finance and Operating – CF&O – Broker-Dealer Operations – Vice President

Requirements

• At least 5 years of work experience including 3 years as a compliance officer or in a risk management or control function role
• Knowledge of operational practices in securities and derivatives markets
• Knowledge of regulations, practices and markets infrastructure in the Americas
• Understanding of the global regulatory environment
• Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries

Responsibilities

• Advise, challenge and influence Operations functions about regulations, policies and reputational risk
• Analyze regulatory changes and enforcement actions to assess the impact to Operations, and participate in work to ensure the business is able to support applicable rules and requirements
• Support the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirements
• Identify, investigate and manage compliance issues involving Operations functions
• Provide support and guidance to Operations functions in dealing with regulators
• Brief senior leadership on risks identified and ensure stakeholder engagement
• Conduct forensic reviews to monitor compliance with regulations and firm policies
• Input into compliance risk assessments to ensure effectiveness of the firms compliance program
• Draft and assist in the implementation of policies and procedures
• Develop and deliver communication and training
• Investigate and liaise with internal stakeholders in relation to conduct issues
• Recommend compliance testing work to be performed
• Provide support and guidance to Operations functions in managing information barriers
• Coordinate with the broader Federation Compliance team on initiatives and projects

Preferred Qualifications

No preferred qualifications provided.