Immediate Full-Time Direct Hire Opening

Top International Investment Bank - Midtown, NYC

AVP, Compliance / Regulations Analyst

Salary: $120,000 - 150,000 (Exempt) + Bonus + excellent, comprehensive benefits program

Hybrid: 4 Days Remote / 1 Day On-Site in Midtown, NYC

Apply: Qualified candidates, please email resume to cjason@networkesc.com for consideration

#Volcker #AML #BSA #ISDA #FRB #SEC #RegulatoryCareers #Compliance #Risk

Department Overview:

The Americas Division (AD) was established in the Bank to perform corporate functions and supervise U.S. entities. Established under the AD are the Global Banking Unit (GBU), Americas Division and Global Market Unit (GMU), Americas Division which performs business functions. The Front Office Risk Management & Administration Teams (FORMAT/ MFM) primary responsibility is to establish and maintain a sound risk management structure regarding compliance and operational risks within the GMU.

Position Overview:

Regulatory Risk Compliance Format Analyst

Performs tasks concerning credit line management, BSA/AML, corporate and FATCA compliance matters, and regulatory matters, Prepares Customer / Account Profiles (existing and new accounts), performs account maintenance and assists traders with necessary risk management and infrastructure management. Liaison with Head Office. Assists with administrative tasks.

Volcker Rule Responsible Officer (Secondary)

Helps to ensure compliance with all applicable Volcker Rule requirements by GMU.

Duties and Responsibilities:

Regulatory Risk Compliance Format Analyst

1. Primarily responsible for preparing Customer / Account Profile for all GMU existing Customers and uploads on Surety system.
2. Primarily responsible for on-boarding account opening process for adding proposed GMU Customers
3. 
   
4. Performs transactions / counterparties review and prepares monthly reports
5. Performs / assists as a trading system administrator and reviews permission functions
6. Acts as the designated responsible officer and ensures BSA/AML, corporate and FATCA compliance by performing tasks stipulated in Treasury Compliance Procedures manuals and related manuals.
7. Performs operational risk management, manages various project teams as assigned, as well as developing better internal controls.
8. Assists with regulatory updates for GMU
9. Assists with legal documentation for GMU
10. Maintains GMUs procedure manuals up to date, and track changes.
11. Assists with internal audit, FRB / NYSDFS examinations, and manages compliance testing.
12. Ensures proper credit line and counterparty management.
13. Liaison with Head Office.
14. Abides by all compliance related procedures
15. Performs other duties and responsibilities as assigned by management.

Volcker Rule Responsible Officer (Secondary)

1. Act as the secondary Volcker Rule Responsible Officer for GMU.
2. Responsible for (i) ensuring that all trading desks activities are in compliance with the Volcker Rule; (ii) keeping up with any changes and new developments related to Volcker Rule provisions affecting the activities of GMU; and (iii) ensuring that the Market Making Desk, ALM Desk and Investment Desk Policies and Procedures remain in compliance with the applicable requirements of the Volcker Rule.
3. Performs other duties and responsibilities as assigned by General Counsel, Americas/Senior Executive Vice President.

Knowledge, Skills, and Abilities:

1. Bachelors degree or equivalent, in finance, economics, data processing and programming preferred with 5+ years of related experience.
2. Advanced in Microsoft 365 (Excel, Word, and Outlook).. Good knowledge of Visual Basic Application, Access, and Power Point preferred.
3. Knowledge and experience of FX, Derivatives, and other market products and services, preferred.
4. Knowledge of ISDA and CSA, preferred.
5. Prior work experience in a financial institution, preferred.