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Compliance Analyst, Swap Dealer Compliance
The KeyBank National Association (“KBNA”) Swap Dealer Compliance Analyst is part of a team that provides direct compliance risk management support to the line of business (LOB) and related support partners as part of KeyCorp’s enterprise risk management program. The position reports to the KBNA Swap Dealer Chief Compliance Officer (CCO). The Swap Dealer Compliance Group is responsible for assisting the LOB in maintaining an effective system of policies, procedures, and controls designed to adhere to applicable laws, regulations, and internal policies or standards.
The Swap Dealer Compliance Analyst will be responsible for oversight of Compliance policies and procedures applicable to the LOB, with a key focus on trade surveillance for adherence to Swap Dealer regulations. The incumbent will be required to identify, resolve, and/or escalate compliance concerns, provide compliance advice to the LOB and support partners, and assist in responding to regulatory examinations, audits, and investigations.
ESSENTIAL JOB FUNCTIONS
The Swap Dealer Compliance Analyst assists in compliance oversight of the derivatives and FX sales activities of the KBNA Swap Dealer. These responsibilities include:
Coordinate and assist with surveillance of systems and supervisory reviews conducted by the Swap Dealer Principals to identify and resolve any potential risks.
Conduct periodic surveillance reviews as outlined in the Swap Dealer Compliance Desk Procedures.
Assist in expanding the Swap Dealer and Volcker trade surveillance program
Assist in responding to regulatory audits, examinations, and investigations
Assist in developing monitoring and testing to review and challenge controls and implementation of obligations with Compliance and business teams, and work with Audit on their ongoing reviews
Assess the effectiveness of the relevant CFTC and NFA rules on a periodic basis together with obligations, risks and controls, including risk assessment activities
Support the CCO and Swap Dealer Compliance team in administering their duties related to the firm’s Swap Dealer Compliance Program.
Ensure compliance issues are escalated timely, as necessary.
Knowledge of applicable CFTC and NFA rules and regulations.
Engage with IT Trade Support on new and updated technology projects to ensure system compliance with trading rules.
Assist in the preparation and timely response to regulatory exams, inquiries and investigations.
Provide compliance support on special projects, as assigned.
Minimum of 2 years of relevant industry and professional experience and education.
Knowledge of Swap Dealer/Dodd Frank regulations/requirements a strong plus
Strong verbal and written communication skills
Detail oriented with a risk and escalation mindset
Ability to perform surveillance testing across multiple lines of business
Strong analytical capabilities
Understanding of relevant markets and transactional processes
Ability to effectively prioritize multiple projects in a dynamic environment
Ability to work well within a team
Ability to work with confidential information
Ability to effectively utilize multiple technological resources.
Good organizational as well as time management skills.
Effectively communicate with lines of business personnel and senior management both in writing and verbally.
Possesses a high ethical standard and moral integrity.
Trading or operations background a plus.
Incumbent will report directly to the Chief Compliance Officer for the KBNA Swap Dealer.
Problem Solving and Solution Oriented
Highly and Independently Motivated
Confident, proactive thinker
Innovation Team Worker
Timely Decision Making
Drive for Results
EQUIPMENT USED/PHYSICAL REQUIREMENTS
Experience with Bloomberg and other various trading systems, market data information, and general Microsoft Office tools.