RIT Solutions, Inc.
Our client, a top-tier management consulting firm, has partnered with a leading Financial Services provider and is seeking an experienced
Compliance Advisory Consultant
to support its
Global Markets Regulatory Compliance Advisory
team. The ideal candidate will provide real-time advisory to business partners on structuring transactions within the context of
Swap Dealers and Security-Based Swap Dealers . This role requires deep understanding of U.S. regulatory frameworks, including
CFTC ,
SEC ,
NFA , and related swap dealer regulations, along with the ability to translate complex compliance requirements into practical business guidance.
Required Skills and Qualifications : • Supporting the ongoing development, implementation and refinement of a comprehensive compliance program. • Maintaining policies and procedures to reasonably ensure compliance with applicable regulatory requirements. • Developing materials on new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance. • Designing, implementing and maintaining Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk. • Providing advice on relevant regulations and internal policies and procedures to internal stakeholders • Research regulations, guidelines, and subject matter expertise to review new products and activities to ensure compliance issues are identified and remediated. • 8+ years prior compliance advisory experience, including interaction with US regulators. • Experience in managing a small team of compliance officers • In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC and NFA rules and regulations applicable to swap dealers. • Knowledge of Capital Markets swap products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and deliver channel needs. • Judgement in handling complex and highly confidential matters with unquestionable character, integrity and professionalism. • Capability to drive consensus and, where appropriate, to take a firm position even in the absence of broad-based support. • nalytical knowledge of complex products, issues and people and the mix of those, and the operational, financial, systemic and risk management processes around such products and offerings. • mastery of applicable CFTC and NFA rules and regulations; exceptional reasoning and analysis skills; attention to detail; strong oral and written skills, resourcefulness, among other abilities. • Working knowledge of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities
Compliance Advisory Consultant
to support its
Global Markets Regulatory Compliance Advisory
team. The ideal candidate will provide real-time advisory to business partners on structuring transactions within the context of
Swap Dealers and Security-Based Swap Dealers . This role requires deep understanding of U.S. regulatory frameworks, including
CFTC ,
SEC ,
NFA , and related swap dealer regulations, along with the ability to translate complex compliance requirements into practical business guidance.
Required Skills and Qualifications : • Supporting the ongoing development, implementation and refinement of a comprehensive compliance program. • Maintaining policies and procedures to reasonably ensure compliance with applicable regulatory requirements. • Developing materials on new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance. • Designing, implementing and maintaining Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk. • Providing advice on relevant regulations and internal policies and procedures to internal stakeholders • Research regulations, guidelines, and subject matter expertise to review new products and activities to ensure compliance issues are identified and remediated. • 8+ years prior compliance advisory experience, including interaction with US regulators. • Experience in managing a small team of compliance officers • In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC and NFA rules and regulations applicable to swap dealers. • Knowledge of Capital Markets swap products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and deliver channel needs. • Judgement in handling complex and highly confidential matters with unquestionable character, integrity and professionalism. • Capability to drive consensus and, where appropriate, to take a firm position even in the absence of broad-based support. • nalytical knowledge of complex products, issues and people and the mix of those, and the operational, financial, systemic and risk management processes around such products and offerings. • mastery of applicable CFTC and NFA rules and regulations; exceptional reasoning and analysis skills; attention to detail; strong oral and written skills, resourcefulness, among other abilities. • Working knowledge of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities