Our client requires a project manager/co-ordnator to Manage Regulatory issues and rules around swaps as a registered Swap Dealer across the firms businesses globally:
Maintain the firms Swap Dealer (SD) manual and regulatory changes and updates as needed; coordinate across the firm with Infrastructure and Front Office to ensure rules and policies are communicated and any actions are tracked.
Coordinate the update to the SD Manual for the entity level requirements
Lead the maintenance and coordination of the SD Manual
Interface with multiple Business Areas along with Compliance and External Counsel to ensure the SD Manual meets regulatory standards.
Establish and facilitate Working Group Meetings with representation from (Ops, FICC, Equities and Distribution) - frequency to be at least monthly
As new rules become effective, the Policy Analyst will work with Work Stream Owners to update the SD Manual, as well as circulate the revised sections of the SD Manual for other Subtopic Owners to review
Liaise with Audit to coordinate updates to policies and procedures, as required
Resolve ad hoc issues on a timely basis, including analysis of various Compliance items, documenting these and ensuring they are appropriately signed off
Proactively escalate risks and issues and their mitigating actions as they arise to the Compliance Policy Group
10 years years experience
preferably (PM) SixSigma, PMP or Prince2 or BA (CBAP, IIBA)
Makosi Inc. - 24 months ago
Makosi has been providing specialist consulting services to top tier clients since 2001. Originating in South Africa and supporting some of...