CAREERS Legal and Compliance Specialist The person in this role will handle many of the day to day compliance and operational responsibilities for the firm supporting the Chief Compliance Officer. ResponsibilitiesManage individual and firm registration requirements including licensingAssist in the management and implementation of the firm’s compliance and regulatory policies, procedures, and code of ethics and ensure compliance with applicable laws and regulationsRespond to client inquiries on compliance issuesDevelop and provide training on compliance related topics on an as-needed basisAssist CCO with all audits, including providing responses and developing corrective action plansClient Onboarding related to:System Entity/Users setup & distribution listsPortfolio onboardingDTCC onboarding Required SkillsExperience with interest rate derivativesFamiliarity with Dodd-Frank regulationExperience in developing and delivering presentations or trainingOutstanding communication skills, both oral and written Preferred QualificationsExperience with ISDA negotiationExperience with commercial loan documentationExperience with governmental and regulatory agencies, with proven experience in responding to audits and surveys by those agenciesExperience with derivative product systems and processingFamiliarity with FX and commodity derivativesFamiliarity with US Treasury Anti-Money Laundering regulationsExperience in writing policies and procedures EducationBachelor’s degree in business or related areasJD preferred We're looking forward to hearing from you! Apply
