• Derivatives Compliance Manager
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    Company: Compliance Search Group

    Location: New York, NY

    Date Posted: October 17, 2013

    Principal Responsibilities: Responsible for supporting the development, implementation and enhancement of the firm’s derivatives compliance program designed to comply with applicable regulations and guidance (including CFTC and SEC regulations under Dodd-Frank), Advising on compliance related matters and obligations, including onboarding, monitoring and surveillance, reporting, conflicts of interest, recordkeeping and public dissemination of derivatives price information. Coordinating the development of compliance related controls including, policies and procedures, training, monitoring and oversight, testing and reporting, with other groups compliance, as well as Audit, Legal, Operational Risk Management, Enterprise Risk Management and other functions. Preparing reports to senior...

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    from TheLadders.com