Responsibilities:
- Facilitate the administration of the Monthly Working Group meetings for the various entities (i.e. calendar invites, prepare decks, note taking)
- Send and collect monthly and quarterly reports
- Assist with the maintenance of the Volcker Portal
- Assist with the maintenance of Volcker related policies and procedures (i.e. assisting with reviews, getting sign-offs, working on getting updated ringis, getting docs posted)
- Assist with the assessment of the current program and identify opportunities for improvement, increasing efficiency, and ensuring that the firm meets regulatory expectations and industry best practice.
- Assist with Head Office ad hoc, quarterly and annual reports
- Assist with Volcker related trainings
- Assist with audits and testing reviews (i.e. tracking requests, gathering required information, following up with other stakeholders as needed)
- Back-up coverage for the Americas Treasury Department (ATD) Compliance coverage
- Assist with monthly ATD communications monitoring as needed
- Assist with any ATD related trainings
- Keep abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas.
- Performs other duties and responsibilities as assigned.
Qualifications:
- 3-5 years in the financial services industry, ideally with particular emphasis on Volcker and Bank compliance and exposure to and experience working with support and control functions
- Knowledge of the Volcker Rule required, knowledge of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC) rules and Bank regulations a plus.
- Strong organizational and delivery skills
- Excellent written, verbal and analytical skills with the ability to express ideas in a persuasive, confident, organized, concise, clear and articulate manner
- Must be a self-starter, flexible, innovative, adaptive and highly motivated with a strong attention to detail.
Educational:
- Bachelor's Degree (B.A./B.S.) in a related discipline
- Series 7, Series 63or Series 24 licenses/registrations a plus