The new addition to the team needs to be well-versed with Swap Dealer compliance and have experience adhering to the various regulations. They also can have experience in a FICC line of business (Fixed Income, Currency or Commodities). In this role you will join a team who independently assesses the overall control environment, improves the control environment, improves on the internal audit process and shares their findings to key stakeholders. Experience in trading functions, specifically Swap Dealer business area, is highly preferred.
RESPONSIBILITIES:
- Maintain an understanding of the firm's FICC business, governance, risk management, and controls.
- Assess the firm's control environment for risks, effectively identifying, mitigating, and improving the control environment.
- Be a part of the entire audit process from scoping, planning, fieldwork, and reporting while serving as a key contributor and mentor to junior team members
- Serve as a Subject Matter Expert on Swap Dealer Requirements.
QUALIFICATIONS:
Education:
- Bachelor's Degree in Business or a relevant field such as Finance, Accounting, or related degree.
Experience:
- 8+ years of experience in audit, accounting or relevant professional experience.
- In-depth knowledge of Swap Dealer requirements or related function such as FICC and Equity.
