Job Description

Reference # : 19-00810Title : Swap Dealer Analyst
Location : New York, NY
Position Type : Contract
Experience Level : Start Date / End Date : 09/11/2019 / 03/31/2020

Function Background/Context:
This global role directly supports the Markets Business to comply with Swap Dealer regulation globally. The role works with various teams across Front Office, Middle Office, Operations, as well as Legal, Compliance, Finance and Risk Management to build, coordinate and monitor a consistent controls framework within Markets and the firm (first line of defense). The position has high visibility and is located in the New York headquarters.

Key Responsibilities:
The following are some of the specific activities expected of this role:
- Review consistency of controls across Businesses to ensure all global Client Swap Dealer entities are compliant with Dodd Frank Swap Dealer requirements (SEC/CFTC);
- Project manage and execute on key projects supporting Swap Dealer compliance and process enhancements, including implementation of new SEC requirements;
- Assist newly registered Swap Dealer entities in the rollout of Swap Dealer control framework, monitoring and associated governance;
- Prepare materials for the Swap Dealer Governing Body Committee (board-level) and Subcommittee, and interact with senior members of these committees;
- Develop, maintain and report on key metrics, transaction alerts, and trend analysis to monitor control effectiveness and support senior management reporting;
- Build strong internal relationships with Front Office Businesses, including Business Unit Managers and Chief Administrative Officers, to strengthen control awareness;
- Prepare process flows and operating procedures;
- Support and enhance the quarterly review of key risks, processes, controls and monitoring results through the Manager's Control Assessment (MCA) process;
- Interact with Internal Audit, Compliance Assurance and other control groups to drive forward control enhancement initiatives and investigate on control failures;

- High-level business understanding of Swap Dealers rules (Dodd Frank, EMIR and other related requirements);
- Global mindset, with understanding of products and services, trading solutions and key control-related themes in the capital markets sector;
- Intermediate level experience in designing and/or assessing controls for Front Office, Middle Office or Back Office, and in delivering change-related projects;
- Strong influence management negotiation and relationship skills;
- Articulate and effective communicator, both orally and in writing, with a proactive approach;
- Strong financial, analytical and strategic planning skills;
- Ability to develop remote relationships across functions;
- Ability to analyze a process and recommend ways to improve quality, controls, and efficiency;
- Strong interpersonal skills for interfacing with all levels of internal and external management;
- Prior experience with Major Global Bank preferred;
- Undergraduate degree required.


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