Volcker & Americas Treasury Compliance Officer

Overview

Established global financial firm is seeking a Compliance Officer who will be joining the Volcker Compliance and Americas Treasury Department Advisory team. The candidate will also have the opportunity to work on other projects as needed.

• Assist with the assessment of the current Volcker Compliance program and identify opportunities for improvement, increasing efficiency, and ensuring that the firm meets regulatory expectations and industry best practice.
• Assist with metrics reporting and governance process (i.e. review and challenge, monitoring, maintenance of trading information schedule, drafting of narrative statements with relevant stakeholders).
• Facilitate the administration of the Monthly Working Group meetings for the various entities (i.e. calendar invites, prepare decks, note taking).
• Assist with and develop controls, monitoring and surveillance of Americas Treasury Department activities.
• Assist with ATD (Americas Treasury Department) communications monitoring.
• Assist with and develop ATD related trainings.
• Assist with various risk assessments covering the ATD, identify potential risks, ensure adherence to controls and improve the supervisory control framework.
• Assist in Regulatory Change Management Process. Keep abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
• Assist in review and enhancement of policies and procedures.
• Assist with audits and testing reviews (i.e. tracking requests, gathering required information, following up with other stakeholders as needed).
• Perform other duties and responsibilities as assigned.

• Bachelor’s Degree (B.A./B.S.) in a related discipline
• 5-7 years in the financial services industry, ideally with particular emphasis on Volcker, Corporate Treasury activities, Bank regulations compliance, derivatives regulations and cross border activities
• Exposure to and experience working with support and control functions
• Knowledge of the Volcker Rule (and metrics reporting requirements) required
• Knowledge of Bank regulations, Commodity Futures Trading Commission (CFTC) regulations and Securities Exchange Commission (SEC) rules a plus.
• Strong organizational and delivery skills
• Excellent written, verbal and analytical skills with the ability to express ideas in a persuasive, confident, organized, concise, clear and articulate manner. Must be a self-starter, flexible, innovative, adaptive and highly motivated with a strong attention to detail.
• Fluent in Japanese a plus