VP Compliance Supervision - Commodities VP Compliance Supervision - Commodities …

Hamlyn Williams
in New York, NY
Permanent, Full time
Be the first to apply
Competitive
Hamlyn Williams
in New York, NY
Permanent, Full time
Be the first to apply
Competitive
VP Compliance Supervision - Commodities
We're working on an exciting role for a VP of Trade Floor Supervision to join a growing international banking institution. This is an opportunity to monitor trade floor activities and work in the 1st LOD.

What you'll be doing:
  • Perform E-mail and phone call reviews of employees to ensure the appropriateness of communications
  • Assist in maintaining up-to-date policies and procedures
  • Review surveillance reports; document and report anomalies and trends to your regulatory supervisor
  • Partner closely with Compliance and Supervision colleagues in order to monitor Regulatory developments in the context of current rules and industry trends
  • Provide consultation and advice to trading desks and Business Heads
What they're looking for:
  • 5+ years of experience within supervision and/or surveillance compliance
  • Strong Commodities product knowledge and understanding of trading activities and applicable regulations
  • Solid knowledge of Banking Regulations, which include but are not limited to CFTC, NFA, SEC, FINRA, OCC, FRB, IIROC, OSFI, EMIR, etc.
  • Series 7, 24 et al are beneficial but not required
For more information contact Thomas Byrne at t.byrne@hamlynwilliams.com or 646 349 4411

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