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Job description

Summary:

The position's responsibilities include the following: providing advisory on regulatory and product specific inquiries for the CACIB Swap Dealer and CAS USA Inc. Broker Dealer, executing special projects for global and local initiatives, and documenting and delivering global policies, procedures and training.

Key Responsibilities:

In collaboration with stakeholders throughout the organization, assist in the development of processes, policies, and procedures to help ensure compliance with the relevant regulatory requirements, including rules and regulations issued by the SEC, FINRA, NFA, and CFTC.
Assist in executing global projects that impacts Front Office, Middle Office, Back Office, and IT functions to address compliance with SEC, FINRA, CFTC, and NFA regulatory requirements
Assist in evaluating new products and activities to ensure compliance issues are identified and addressed and an appropriate compliance program is implemented, as needed.
Coordinate with Compliance Testing and Surveillance teams to provide reasonable assurance that the firm is in compliance with applicable regulatory requirements and internal policies.
Develop and deliver training and education to make employees aware of their compliance and regulatory responsibilities.
Assist in responding to regulatory inquiries, audits, examinations and investigations.

Management and Reporting:

The position reports directly to the Head of Global Markets Regulatory Compliance Advisory in Americas.

Key Internal Contacts:

The employee will most likely interact on a regular basis with Front Office, Head Office Compliance, Middle Office, Back Office and IT support personnel.

Key External Contacts:

The employee may have occasion to interact with external consultants for special projects.