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.

Responsibilities

  • Manage individual and firm registration requirements including licensing

  • Assist 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 regulations

  • Respond to client inquiries on compliance issues

  • Develop and provide training on compliance related topics on an as-needed basis

  • Assist CCO with all audits, including providing responses and developing corrective action plans

  • Client Onboarding related to:

  • System Entity/Users setup & distribution lists

  • Portfolio onboarding

  • DTCC onboarding

Required Skills

  • Experience with interest rate derivatives

  • Familiarity with Dodd-Frank regulation

  • Experience in developing and delivering presentations or training

  • Outstanding communication skills, both oral and written

Preferred Qualifications

  • Experience with ISDA negotiation

  • Experience with commercial loan documentation

  • Experience with governmental and regulatory agencies, with proven experience in responding to audits and surveys by those agencies

  • Experience with derivative product systems and processing

  • Familiarity with FX and commodity derivatives

  • Familiarity with US Treasury Anti-Money Laundering regulations

  • Experience in writing policies and procedures

Education

  • Bachelor’s degree in business or related areas

  • JD preferred

We're looking forward to hearing from you!

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