Summary Global Markets Regulatory Compliance (“GMRC”) Advisory - Americas Director is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions. Key Responsibilities: · Responsible for the ongoing development, implementation and refinement of a comprehensive compliance program. · Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations. · Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements. · Communicate new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance. · Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk through a surveillance and monitoring program. · Design, implement and maintain Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk. · Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions. · Evaluate new products and activities to ensure compliance issues are identified and remediated. Key Internal contacts o All GMD business units o Legal department o Audit department o Risk departments and o Operations departments. Key External contacts The Firm's regulators, including but not limited to FINRA, SEC, NFA, and CFTC. Salary Range: $190k - $220k #LI-DNI 8+ years prior compliance advisory experience, including interaction with US regulators. Experience in managing a small team of compliance officers Bachelors degree required JD preferred
...REEDS Jewelers Bench Jeweler (Full-Time) Location: Mayfaire Town Center, Wilmington, NC REEDS Jewelers is seeking a skilled Bench Jeweler to join our team at our beautifully remodeled flagship store in Mayfaire Town Center a true luxury destination in one of...
...are The Miami Valley Group, an Executive Search and Recruiting Firm and we have been retained by one of our large clients in the Printing industry to go out and find a Printing Technology & Workflow Solutions Architect to join their team at their state-of-the-art print...
About Ascentage Pharma Ascentage Pharma: (Nasdaq: AAPG and HKEX: 6855) is a global, clinical-stage biotechnology company engaged in developing novel therapies for cancers and other diseases. Ascentage Pharma is proud of its collaborative, supportive culture, unified by...
Board-Certified Behavior Analyst (BCBA) CENTER-BASED Location: Southington CT Company... ...their potential and creativity. Why Work with Us? Meaningful Impact: At Fun 2B Free... ...hours with the opportunity to work from home and adjust your schedule to fit your needs...
...reports. Preferred Experience: Bachelors Degree in Electrical Engineering, Computer Engineering, or Electronic Engineering or equivalent... ...to hardware production manufacturing Strong basic level technical knowledge. Experience with practical applications...