Job Description

Business Overview:

Demonstrate the firm’s commitment to compliance by maintaining a compliance testing review program that evaluates the firm’s compliance with applicable laws and regulations and discloses violations and control weaknesses.  Conduct compliance testing reviews of the various front office business areas, branches, and operations areas and provide senior management with detailed reports regarding the extent of the firm’s compliance with applicable laws and regulations along with value-added comments and recommendations where appropriate.  Also, assist in the firm’s various certification processes, coordinate reporting of compliance metrics to the US Intermediate Holding Company and Head Office and participate in special projects/investigations as needed.

Candidate Success Factors:

Candidates are measured on the following four performance drivers, which will dictate how individual impact is considered on the Americas platform:

Results and Impact

Able to influence peers and team.
Demonstrates good judgement when making decisions of high complexity and impact.
Exercise appropriate autonomy in the execution and delivery of work. 
Responsible for driving outcomes, which have meaningful effect on team or department.

Leadership and Collaboration:

Creates trust with colleagues.
Acts in leadership capacity for projects, processes, or programs.

Client, Customer and Stakeholder Focus: 

Able to build relationships with a mix of colleagues and clients.
Interacts regularly with management and department leaders.
Demonstrates the ability to influence stakeholders at the team level. 

Compliance Culture and Conduct: 

Takes full responsibility for personal actions and demonstrates courage in facing problems and conflicts.
Perceived as a person of high moral character; upholds corporate values and displays high ethical standards.

Responsibilities: 

Conduct compliance reviews of specific business units, branch / non-branch offices, functions, products, and / or other targeted reviews based on applicable laws, regulations, risks, and internal policies
In conjunction with the Compliance Independent Testing (CIT) Manager, perform the following for assigned reviews:

Develop a testing plan and timeline for each review considering applicable regulations, risks, and / or areas of concern.
Conduct compliance testing of regulatory requirements, processes, policies, procedures, and controls in order to assess and review compliance with legal, regulatory, and internal firm policy and procedure requirements.
Draft and validate issues and recommendations addressing the root cause of identified issues with stakeholders.
Draft reports detailing regulatory requirements, testing conducted, review findings and recommendations.  Issue final reports to senior management.
Ensure that all findings and recommendations are entered into the Reporting & Issue Tracking Application database and once documentation is submitted for closure, assess to determine if the issue was properly resolved prior to closing.
Remain mindful of review timeline and conclude reviews in accordance with the timeline, proactively escalating any timeline issues to the Manager. 

Assist with annual CEO/CCO Certifications, CIT projects, and / or compliance related matters during internal / external examinations as needed.

Minimum Required Qualifications:

The desired skills for this position include:

Four to eight years of experience in the financial services industry and / or regulatory organization in compliance or regulatory related position. Compliance testing, audit or regulator experience a plus.
Strong knowledge of U.S. securities, commodities, and / or banking regulations preferred, examples include: the rules and regulations of the SEC, CFTC and exchanges and associations under such federal agencies (such as FINRA, NYSE, CBOE, ISE, CME, NYMEX and ICE US), and Swap Dealer / Volcker Rule requirements.
Ability to apply knowledge of rules and regulations to compliance reviews 
In the event the candidate is unfamiliar with certain rules and regulations, ability to research and gain knowledge of rules and regulations and apply such knowledge to compliance reviews and interpret the effect of of new regulations on certain activities
Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management. 
Excellent execution skills with the ability to work successfully under deadlines, manage multiple deliverables at the same time and easily adapt to a changing environment 
Excellent writing skills to effectively summarize regulatory requirements, testing performed, test results, findings and recommendations.
Strong analytical, investigative, organizational, project management, problem solving, and root cause identification skills. 
Acute business acumen and ability to understand organizational issues and challenges. 
Lead by example and influence others with a positive attitude in the workplace and remain accountable.
Team player and ability to work collaboratively across the platform. 
Strong computer skills including MS Office Suite – Word, Excel, PowerPoint, Access.
BA or BS Degree required.  

Preferred Qualifications: 

Compliance testing, audit or regulatory experience a plus.
Experience with CFTC and/or SEC Swap Dealer regulations and testing a plus.
Graduate Degree a plus.  
Professional Certification or Securities licenses preferred (SIE, Series 3, 7).
Speaks and reads Spanish or French a plus.

FINRA Registrations Required:

SIE or equivalent (can be obtained within the first year of employment)

CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required): 

Not Applicable 

SEC Security-Based Swap Dealer Associated Person:

Not Applicable 

While the description above describes our ideal candidate, we encourage applicants to apply even if they do not fully meet the complete list of qualifications noted.

The expected starting salary range for this position is between $105,000 to $140,000 annually. The actual salary may vary based upon several factors including, but not limited to, relevant skills/experience, time in role, base salary of internal peers, prior performance, business line, and geographic/office location.

In addition, our comprehensive benefits package aims to support our employees in various aspects of their lives. From healthcare and wellness programs to retirement plans and childcare services, we prioritize the well-being and growth of our employees. Our benefits include medical, dental and vision coverage, a 401(k) Savings Plan, backup childcare, life, accident and disability insurance, mental health support and paid time off. Additional details about our benefits offerings, inclusive of eligibility for a discretionary bonus, will be provided during the hiring process.