Capital Markets Compliance Officer
Our client, a large international bank, is currently seeking a Capital Markets Compliance officer to join their Advisory Markets Compliance team. The Capital Markets Compliance officer must have 5+ years of experience working within compliance and/or regulatory, specifically dealing with Broker-Dealers, Emerging Markets, or Swaps Dealers. The Markets Compliance Officer will be responsible for but not limited to; advising sales trading staff on all matters regarding firm policies, remaining current on industry rules regulations, monitoring testing swap positions, and managing testing Swaps Dealer and Broker Dealer risk management programs. The Markets Compliance Officer must have regulatory experience dealing with Dodd Frank, NFA, FINRA and or CFTC/CME. Interested applicants please e-mail resume to jeffrey.menzel@rhi.com.
Bachelor's degree in Finance, Economics and/ or Accounting
5+ years of compliance and/or regulatory experience
Experience in Capital Markets Compliance dealing with Sales Trading
FX, FIC, and Swaps experience highly preferred
Regulatory Experience with the NFA, FINRA, SEC, CFTC or CME
Strong attention to detail
Must have superb written and verbal communication skills
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