Position Details: Compliance Consultant 5 / Swap Dealer

Description:

Job Description:

Corporate Risk helps all our client's businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

Specific responsibilities for this group include providing expert advice regarding applicable regulations, overseeing and updating relevant policies and procedures, monitoring front office activities and regulatory developments that impact the Swap Dealer lines of business (“SD LOBs”), as well as develop and perform Compliance training
Rates/Swap Dealer Compliance provides Regulatory and Compliance support for the Rates business and WFBNA Swap Dealer, with particular focus on CFTC regulations and rules.

Candidate must be able to work in Charlotte, NC

Required Qualifications:
•10+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both or 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both

Desired Qualifications
•Advanced Microsoft Office skills
•Excellent verbal, written, and interpersonal communication skills
•Strong analytical skills with high attention to detail and accuracy
•Ability to interact with all levels of an organization

Other Desired Qualifications:
•J.D. or similar advanced degree
•Candidate must have a minimum of six years of experience at a financial institution focusing on the Rates business line and CFTC regulatory and compliance matters.
•Excellent verbal and written communication skills.
•Experience interacting with senior front office personnel regarding complex regulatory matters.
•Experience interacting with regulators.

Disclaimer:
All offers for employment with our client are contingent upon the candidate having successfully completed a criminal background check. Our client will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.



Relevant military experience is considered for veterans and transitioning service men and women.

Our client  is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Candidate Must Have:

Applicant meets the basic qualifications in the job description

Perform an action: