Compliance Analyst, AVP

Duties and Responsibilities:

Compliance Analyst

Primarily responsible for preparing Customer / Account Profile for all GMU existing Customers and uploads on Surety system.

Primarily responsible for on-boarding account opening process for adding proposed GMU Customers

Performs transactions / counterparties review and prepares monthly reports

Performs / assists as a trading system administrator and reviews permission functions

Acts as the designated responsible officer and ensures BSA/AML, corporate and FATCA compliance by performing tasks stipulated in Treasury Compliance Procedures manuals and related manuals.

Performs operational risk management, manages various project teams as assigned, as well as developing better internal controls.

Assists with regulatory updates for GMU

Assists with legal documentation for GMU

Maintains GMU's procedure manuals up to date, and track changes.

Assists with internal audit, FRB / NYSDFS examinations, and manages compliance testing.

Ensures proper credit line and counterparty management.

Liaison with Head Office.

Abides by all compliance related procedures

Performs other duties and responsibilities as assigned by management.

Volcker Rule Responsible Officer (Secondary)

Act as the secondary Volcker Rule Responsible Officer for GMU.

Responsible for (i) ensuring that all trading desks' activities are in compliance with the Volcker Rule; (ii) keeping up with any changes and new developments related to Volcker Rule provisions affecting the activities of GMU; and (iii) ensuring that the Market Making Desk, ALM Desk and Investment Desk Policies and Procedures remain in compliance with the applicable requirements of the Volcker Rule.

Performs other duties and responsibilities as assigned by General Counsel, Americas/Senior Executive Vice President.

Knowledge, Skills, and Abilities:

Bachelor's degree or equivalent, in finance, economics, data processing and programming preferred.

At least 5 years bank compliance experience, including knowledge of the Volcker Rule.

Advanced in Microsoft 365 (Excel, Word, and Outlook).. Good knowledge of Visual Basic Application, Access, and Power Point preferred.

Knowledge and experience of FX, Derivatives, and other market products and services, preferred.

Knowledge of ISDA and CSA, preferred.

Must Have Qualifications:

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Plusses:

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Day-to-Day Responsibilities:

PROVIDE A SHORT WRITE-UP ABOUT THE JOB IN YOUR OWN WORDS - DO NOT JUST COPY AND PASTE THE JOB DESCRIPTION YOU RECEIVED FROM THE CLIENT.

Compensation: Include Hourly Rate or Salary/Bonus Info - This is mandatory in certian locations such as NYC.

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