Global Markets Regulatory Compliance Advisory

Rate: up to $700/day

Summary

Temporary Resource is responsible for supporting the Global Markets Regulatory Compliance Advisory team to provide advisory on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions.

Key Responsibilities:

• Supporting the ongoing development, implementation and refinement of a comprehensive compliance program.
• Maintaining policies and procedures to reasonably ensure compliance with applicable regulatory requirements.
• Developing materials on new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance.
• Designing, implementing and maintaining Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk.
• Providing advice on relevant regulations and internal policies and procedures to internal stakeholders
• Research regulations, guidelines, and subject matter expertise to review new products and activities to ensure compliance issues are identified and remediated.