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Job

VP Compliance Supervision - Commodities

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Salary:

    $160000

  • Contact:

    Thomas Byrne

  • Contact email:

    t.byrne@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    3 months ago

  • Expiry date:

    2023-08-15

  • Startdate:

    ASAP

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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