VP
Newly created position to focus on the regulatory oversight of the daily client segregation calculation and analytical processes.
Responsibilities include:
- Review of the daily client segregation operational output to ensure accuracy, timeliness and completion, liaise with Listed and OTC derivative operational leads.
- Perform quality control review over daily calculation processes performed in operations and prepare/coordinate meaningful analysis.
- Interpret and apply new client segregation CFTC/CME regulations as well as ensure compliance with existing rules and regulations.
- Review existing/ create enhanced control reporting metrics to identify potential areas requiring attention and or remediation.
- Participate and provide input for the New Product Approval process
- Support coordinate regulatory audits inquiries
- Support/lead remediation initiatives self and or regulator identified.
- Provide comprehensive reporting for all regulatory matters affecting the listed and OTC businesses for local management, the GBS EXCO, the DBSI OpCo DBSI Board of Directors.
- Position will require liaising with other divisions (Finance, Compliance, Front Office, Legal, Risk management) as required.
Qualifications
- Approximately 8 years securities/banking industry experience;
- CME/CFTC client segregation regulation experience required
- General product (Listed and OTC Derivatives) knowledge
- Trade life cycle knowledge preferred (trade capture to books and records), inclusive of funding as well as client segregation calculations
- Excellent written communication skills
- Excellent project management skills
- Ability to manage multiple projects with competing deadlines priorities
- Ability to interpret and synthesize relevant regulatory proposals and rules
- Experience in relationship building and management
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