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Emerging Markets & FX Compliance Officer

New York, NY 10005 | Permanent

Post Date: 01/02/2018 Job ID: 523 Industry: Compliance Pay Rate: $150,000 - $185,000
Our client, a major international bank, has an immediate need for a new VP Level Compliance officer with experience supporting a robust Emerging Markets / FX compliance program.

Responsibilities:

  • Provide real-time advisory services to the Emerging Markets business
  • Advise the business on how trends and developments may impact their current activities
  • Create, implement and maintain policies and procedures.
  • Help develop trade surveillance reports 
  • Conduct compliance risk assessments
  • Conduct new hire and annual employee training on the Code of Conduct and Compliance related policies and procedures
  • Work closely with other infrastructure areas, such as Legal, Middle Office, AML, CRM and Technology.
  • 5-7 years of compliance or regulatory experience, preferably with a federal regulator, self-regulatory organization, or in a trading environment, risk management function

 

Requirements:

  • Familiarity with  FX and knowledge of SEC and FINRA regulations
  • Minimum of a Bachelors Degree required
  • Experience interacting with traders, sales staff and support personnel
  • Excellent communication skills (written and oral)
  • Must be confident and professional in all dealings with business personnel and senior management.
  • Must be able to work independently, with limited supervision and effectively within a team
  • Ability to multitask efficiently and effectively and meet tight deadlines

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