Compliance Officer II-Swap Dealer Testing
Fifth Third Bank
Lokasi pekerjaan
Charlotte, NC, USA
Status Pekerjaan
Waktu penuh
Detail Pekerjaan
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Fifth Third Bancorp is seeking a Compliance Officer II responsible for the oversight and execution of compliance testing activities of the Swap Dealer and Volcker compliance programs.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
• Develop test plan/scope for all Swap Dealer and Volcker reviews to evaluate key risks identified in the compliance risk assessment
• Perform compliance testing of Swap Dealer and Volcker programs; identification and evaluation of compliance risks and the execution of procedures to evaluate the Bancorp's compliance with laws, regulations and industry standards
• Conduct extensive research to support regulatory findings/control weaknesses and document conclusions
• Provide reporting and actively engage senior LOB leadership to communicate the results of testing and any instances of non-compliance
• Collaborate with Compliance Partners and line of business (LOB) management in developing corrective action plans; review and approve adequacy of LOBs resolution
• Serve as subject matter expert for Swap Dealer and Volcker related testing
• Oversee Analyst and Compliance Officer testing; provide guidance as needed related to test results
• Assist Compliance line of business partners with periodic regulatory reports, reports to senior management, and the Swap Dealer annual report as it relates to testing
MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:
• Education: Bachelor's degree
• Minimum 3 years of experience in a Swap Dealer or related field
• Experience and understanding of financial institution compliance programs
• Knowledge of CFTC and NFA Rules as well as industry standards and trends
• Strong analytical, communication and critical thinking skills
• Proficient in Microsoft Office software applications
• High degree of integrity and strong work ethic
PERFERRED QUALIFICATIONS
• Experience with a derivatives regulatory body (CFTC or NFA)
• Understanding of the Volcker rule
• Broad understanding of Capital Markets and/or experience on a trading desk at a financial institution
#LI-GM1
Compliance Officer II-Swap Dealer Testing
Total Base Pay Range 76,000.00 - 152,400.00 USD Annual
LOCATION -- Virtual, Michigan 00000
Fifth Third Bank, National Association is proud to have an engaged and inclusive culture and to promote and ensure equal employment opportunity in all employment decisions regardless of race, color, gender, national origin, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status
