SEC, CFTC, NFA Records Management (MAx $70/hr W2)
SEC, CFTC, NFA Records Management (MAx $70/hr W2)
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
- A thorough understanding of the books and records rules of the Securities Exchange Commission (SEC) Financial Regulatory Authority (Client) Commodity Futures Trading Commission (CFTC) Exchanges (exp. Chicago Mercantile Exchange Chicago Board of Trade etc.) National Futures Association (NFA) and other entities and governing bodies is required. The candidate will use industry and regulatory knowledge to guide stakeholders through seamless adherence to regulatory and enterprise standards providing suggestions for process improvements and risk mitigation as the RMO develops.
- Provide governance to Swap Trade Reconstruction process
- Keep abreast of relevant regulatory changes/developments
- Communicate regulatory information locally and globally
- Streamline and continuously seek to improve processes for the distribution retrieval and storage of records including onboarding new information technologies into the firm.
- Work closely and proactively with Compliance Legal and Business Units to establish and manage Records Management policy requirements and the required operational processes to ensure that the policy is met. This includes the implementation of all regulator driven requirements including SEC Client Dodd Frank NYDFS and any other applicable regulations.
- Drive the transformation of the firms records management processes to meet organizational and regulatory requirements
- Develop and/or deliver presentations to senior management on records management best practices of procedures
- Expertise in U.S. regulations particularly for Systemically Important Financial Institution from an Records Management perspective with familiarity of global regulations
- Expertise in CFTC 1.31 SEC 17a-3/4 SEC 18a-5/6
- Superior ability to organize verbal and written communication to clarify purpose and importance stress major points and follow a logical sequence
- Ability to operate in a complex environment managing multiple complex initiatives covering global markets technology project management etc.
- Familiarity with current regulations related to Records Management.
- Ability to multi-task on an ongoing basis
- Ability to interact effectively with people at all levels of the firm
Additional Information :
All your information will be kept confidential according to EEO guidelines.
Remote Work :
No
Employment Type :
Contract
Employment Type
Contract
