TITLE: Director, CFCC Advisory, FM Americas
LOCATION: New York, NY
DUTIES: Provide compliance support and advisory to the Financial Markets-Americas, focusing on products and services relating to US Macro business (FX, Rates, Commodities), Prime Brokerage business, Treasury Markets and securities. Contribute as part of the FM Compliance team to advise FM Americas Business stakeholders on optimal regulatory processes and procedures relevant to FM Americas business developments. Advisor regulatory reform teams on impact of new or amended rules relevant to FM trading desks and assist in implementation of controls designed to satisfy new requirements. Build and maintain an effective and constructive relationship with all key business and functional stakeholders that is based on trust and valuable regulatory compliance advise and guidance to enable the business and functions to meet and achieve their strategic tactical objectives. Advise global compliance colleagues on U.S. regulatory requirements and procedures that impact cross-border and offshore FM business. Primary coverage for US Macro business (FX, Rates, Commodities), Prime Brokerage on NY Dealing Room. Provide secondary coverage for securities business and broker-dealer activities. Provide orientation to new hiring trading floor. Conduct training as required, ex. EFRPs, SMCR, Off Channel Communications, Order Handling, and Gift Entertainment. Respond to all regulatory inquiries and select NFA inquiries relating to the Swap Dealer. Assist with the creation and implementation of bank policies and procedures and enforcement of such as required. Remote work may be permitted within a commutable distance from the worksite, in accordance with Standard Chartered Bank policy.
REQTS: Must have a Bachelor's degree or foreign equivalent in Finance, Economics, or a related field and four (4) years of experience in the job offered or in a related position. Must have four (4) years of experience with: Detailed knowledge of the UK and US rules that apply to Financial Markets including MiFID, EMIR, MAR, SMCR, Reg KK/USPR Margin Rules, FINRA rules, SEC 15a6 and industry codes (e.g. FXGC). Strong product knowledge in Financial Markets products, in particular Macro products (FX, Rates, Commodities), securities products (e.g. bonds, repos), Prime Brokerage business, Treasury Markets. Working in an advisory role with a markets business. Timely decision-making and advising in a fast-paced trading floor environment. Conducting and leading investigations on the conduct of front office sales and trading, including but not limited to, reviewing trading patterns and behaviors and reviewing electronic chats. Providing compliance advice on post-Brexit cross-border requirements.
SALARY: $180,000 - $210,000/year
HOURS: Full time; Mon - Fri (40 hours per week) EOE.
CONTACT: Apply by clicking "Apply Now" or email resume toSCBAmericas.TA@sc.com.
This job opportunity is eligible for our Employee Referral Program. Please refer to our Employee Referral Scheme for information relating to the program.
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