As a Compliance Risk Management Lead for the Commodities team within Compliance, Conduct and Operational Risk (CCCOR), you will be covering the Global Commodities Group (GCG) in the Corporate & Investment Bank (CIB). You will need to be comfortable working with a wide range of stakeholders including senior management, and maintain credible relationships across technology and control organizations.
Job Responsibilities
- Identifying and managing compliance and conduct risk related to trading of financial OTC derivatives, listed futures and physical commodities
- Provide independent challenge related to business decision-making and risk management processes
- Build and maintain strong relationships with front-office personnel, business managers, control managers, technology and other business-aligned corporate functions to facilitate dialogue and effective implementation of solutions
- Work proactively to maintain, enhance and develop an effective control environment and supervisory program
- Provide Compliance perspective in New Business Initiative and Change Management reviews;
- Draft and review Compliance policies, standards and bulletins to support awareness of requirements
- Create and deliver Compliance training presentations to emphasize important regulatory and policy principles, and
- Participate in firm-wide risk assessment, monitoring and testing initiatives
Required qualifications, capabilities, and skills
- Excellent verbal and written communication skills
- Ability to manage multiple initiatives simultaneously in a dynamic, fast-paced environment
- Strong interpersonal skills
- Strong organizational, project management and presentation skills
- Bachelor’s degree with 6+ years of experience
Preferred qualifications, capabilities, and skills
- Knowledge Futures Exchange, CFTC and NFA rules relating to Commodities
- Masters’ or Law degree with 4+ years of experience