Senior Markets Compliance Officer
Rabobank - New York, NY

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Our Organization Rabobank Group is a global financial services leader providing wholesale and retail banking, leasing, real estate services, and renewable energy project finance. Founded over a century ago by Dutch farmers as a banking cooperative, Rabobank today is one of the largest banks in the world, with nearly $1 trillion in assets and operations in more than 45 countries, and ranks among the 10 safest banks in the world (per Global Finance “World’s 50 Safest Banks” April 2013). Through its tremendous financial strength and global network, Rabobank has the tremendous resources, broad international reach, and flexibility to deliver innovative, robust solutions and knowledgeable counsel wherever and whenever our clients require. Headquartered in The Netherlands, Rabobank Group was founded by Dutch farmers in the 1890s, as a collection of small cooperative banks to serve their rural communities. The cooperative model was designed to provide a fair and reliable source of credit to local customers, through a system of shared liabilities, pooled resources, and reservation of profits. Throughout the 20th century, Rabobank expanded its business scope and geographic presence, adding a broader range of banking and financial services to meet the needs of customers in the Netherlands and internationally, while maintaining its cooperative structure and principles. Internationally, Rabobank is the premier bank to the global food and agriculture industry, helping finance the growth and success of farmers, ranchers, and food, beverage, and agribusiness companies around the world. Rabobank’s agricultural knowledge is unparalleled and its bankers are experts in their fields, delivering a combination of local market insight, global perspective, and deep sector knowledge that is unmatched. In North America, Rabobank has 9 offices and provides wholesale banking products and services tailored to clients in the food and agribusiness and renewable energy sectors:
• Lending and Credit
• Trade and Commodity Finance
• Acquisition Finance
• Renewable Energy and Infrastructure Finance
• Global Client Solutions
• Mergers & Acquisitions Advisory
• Food & Agribusiness Research and Advisory
• Capital Markets
Your Function: In the US, Rabobank Wholesale operates through 2 primary entities; Rabobank NY Branch (the ”Branch”) is a foreign branch under NY State and Federal Reserve supervision, and Rabo Securities USA, Inc. (“RSI”) is a broker dealer registered with FINRA, the SEC, and the individual states where it conducts business. Both the Branch and RSI must implement and maintain supervisory procedures for its business activities and designate individuals as supervisors responsible for implementing such procedures. The Senior Markets Compliance Officer is responsible for reviewing the supervisory systems and the policies and procedures implemented within the NY branch and RSI, and for recommending appropriate action reasonably designed to achieve ongoing compliance with applicable laws, rules and regulations. Accordingly, the Compliance Director RSI/GFM shall establish and keep current appropriate written supervisory procedures and an effective compliance monitoring system. The Senior Markets Compliance Officer are is part of the Compliance Department. The compliance responsibilities include the management of one or two Compliance Officer(s). The position reports into the Head of Markets Compliance for the Americas. Key Responsibilities: The Senior Markets Compliance Officer will be accountable for the following: Overall management of the RSI compliance function (regulatory reporting, Web CRD filings, regulatory examinations, internal controls, and policies and procedures). Responsible for managing one or two compliance officer(s) for RSI and GFM activities. Ensure all compliance manuals, policies and procedures are completed, maintained and continuously compliant. Lead and manage regulatory matters, examinations, applications, inquiries and serve as point of contact with FINRA, SEC and state securities regulators. Preparing audit documentation, participate in internal audit requests, and follow through on audit findings and recommendations to successful completion. Interact effectively with, and provide guidance to, RSI and Rabobank Wholesale personnel including: Front Office and Operations staff, Management, Head Office and other offices within the region. Provide transactional guidance on issues concerning US rules, regulations, practices and procedures. Advise locally and globally on all US specific matters and US client engagement (including the application of SEC Rule 15a-6). Advise and work with business partners locally and globally to facilitate new products and activities. Develop, lead and manage programs to monitor business activities and employees’ conduct for compliance with laws, rules, regulations, and internal policies and procedures. Ensure effective internal controls are in place with respect to Information Barriers and Conflicts of Interest. Perform targeted reviews of business operations and prepare reports for management, as needed. Providing bank wide training to all relevant staff on US rules, regulations, and internal policies and procedures.
Your Profile: 1. Bachelors Degree and Series 7, 63, and 24 licenses and must not have any disciplinary history with FINRA or any other regulatory authority 2. 7-10 years of experience within SEC and FINRA broker/dealer framework. 3. Banking experience and JD are a plus, but not required. From a product perspective the expectation is for the candidate to possess a background in equities, fixed income, currency and commodities, mergers and acquisitions, and capital markets (including, securitization and loan syndication). Working knowledge of SEC Rule 15a-6 and product knowledge in derivatives instruments would be a distinct advantage.
We Offer: As a cooperative bank, Rabobank builds long-term relationships with our customers and our employees. We are close financial “partners” to our clients, focused on serving their needs. Our culture is one of collaboration and teamwork, with strong commitment to fostering sustainable employee-bank relationships. Rabobank New York Branch offers a comprehensive benefits program that is among the finest in the industry featuring: Medical/Dental/Vision Plans; Defined Contribution (401k) Plan With Employer Match; Paid Vacation based on position and length of service; Life and Disability Insurance; Health and Dependent Care Flexible Spending Plans; Transportation Reimbursement Incentive Plan; Educational Assistance Program. Also offering Portable Voluntary Benefits including Pet Insurance; Automobile and Homeowner’s Insurance; Cancer Protection Plan; Legal Insurance Plan; Optional Life and Disability Insurance.

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Rabobank Group has its roots deep in Dutch soil. Founded as a cooperative of Dutch agricultural banks in 1898, the company has some 140...