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VP, Compliance-Securities Based Swap Dealer

New York, NY, USA | Santander Consumer USA

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    General Management
    Legal / Compliance
  • Experience:
    5-7 years
Job Description:
59 people have viewed this job

Responsibilities:


Responsible for review/testing of swap dealer and potential other trading related processes

Obtaining and reviewing Key Performance Indicators for swap dealer activity

Monitoring trading for market abuse (not necessarily specific to swap dealer)

Liaising with Head Office on swap dealer activity

Interacting with appropriate trading desks and Front Office business control officers to ensure adherence to regulatory requirements

Tracking testing and regulatory action drivers


At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams. We encourage everyone to apply.


Minimum 5 years of compliance testing or audit experience

3+ years of work experience in Investment Bank and Capital Markets business

Knowledge or Background of Dodd-Frank Act, Securities Exchange Act, Commodity Exchange Act and the CFTC and SEC Regulations, and FINRA and NFA Rules

Swap related experience or background

Ability to develop test plans and independently coordinate and complete testing in a timely manner

Strong Critical Thinking and Problem Solving Skills

Ability to work cooperatively with other members of the team and the department

Ability to analyze complex laws and regulations


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