Vice President, Swap Dealer Compliance

Responsibilities Advise internal stakeholders on implementation and development of SEC, CFTC and NFA swaps requirements Lead the development of relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting Engage with the business, including Markets Financing Solutions, FX Sales & Trading, as well as Compliance, Legal, Operations, Enterprise Risk Management, Finance and Audit stakeholders Monitor and analyze the implementation of proposed and final rules promulgated by the CFTC, SEC and NFA on swaps and security-based swaps Assist in overseeing the Volcker Rule compliance program Provide regulatory guidance to management, business lines, and functions Respond to regulatory inquiries, audits, examinations and investigations, and liaise with regulators (SEC, CFTC & NFA) Develop training for Associated Persons to educate employees of their obligations and expected behaviors Requirements JD or MBA, with preference to Business or Finance majors 5+ years of relevant experience in a Swap Dealer Compliance office position or similar role in Compliance/Legal or Risk departments covering above-referenced regulations 5-10 years financial services experience with a broker-dealer, swap dealer, and/or related legal or regulatory experience (e.g. Former SEC, CFTC or NFA experience) Working knowledge of Volcker Rule requirements, and experience overseeing a Volcker Rule compliance program Ability to understand the compliance issues involved with the State Street Markets Business, swaps and security-based swap regulation Experience writing and implementing policies and procedures, management information and reports Extensive knowledge of financial services products, markets, laws, rules and regulations relevant to OTC derivatives, Equity Derivatives, FX, swaps, Interest rate swaps, futures and options Experience with the monitoring, and testing of compliance programs Proficiency in Excel, PowerPoint, and Microsoft Office Hard Skills compliance program development risk assessments policy writing regulatory guidance compliance monitoring OTC derivatives knowledge Equity Derivatives knowledge FX knowledge swaps knowledge Volcker Rule compliance Soft Skills stakeholder engagement training development issues management governance management reporting communication analytical skills problem-solving leadership organizational skills Certifications & Qualifications JD MBA #J-18808-Ljbffr Jobtailor