Director OTC Derivatives Compliance
Responsibilities:
- Developing programs and procedures necessary to review swap dealer and major swap participant applicants' compliance with requirements pursuant to Section 4s of the Commodity Exchange Act.
- Developing programs and procedures necessary to conduct audit examinations
- Hiring and training staff.
- Monitor the department's progress in implementing the structure and programs for regulating and ensure the department is functioning efficiently and effectively.
- Complete all performance management functions, including effectively coaching subordinates, providing meaningful feedback in evaluations to subordinates, guiding subordinates in career development, recognizing and rewarding contributions, etc.
- Represent to external audiences, including clients and other stakeholders. This includes explaining 4s requirements and other Dodd-Frank requirements
- Promote firms brand, discuss current industry and firms initiatives and obtain information regarding industry concerns.
- Use feedback to develop new initiatives or make changes to current processes.
Requirements:
- 10+ years’ experience in an audit, regulatory, or compliance function, particularly involving OTC derivatives.
- Risk management and other experience in OTC derivatives a plus.
- Strong familiarity with the OTC derivatives market IRS, CDS, Equity, Commodity and Energy, etc.
- Structured products knowledge
- Broad knowledge of Standard agreements, Market dynamics, Trading mechanisms and practices, Transaction processing, Reporting requirements, Pricing and valuation methods, Collateral and capital requirements
- Strong oral and written communication skills.
- Bachelor's Degree in accounting, finance or related field. Advanced degree preferable in accounting, finance or related field
For immediate consideration, please forward resume and contact details to: info@ashtonlanegroup.com
Ashton Lane Group is a boutique executive recruitment firm serving the Banking, Insurance, and Alternative Investment sectors. For the latest opportunities, visit www.AshtonLaneGroup.com
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