Broker Dealer Advisory - VP

NatWest Group; Stamford (CT); On-site; USD 133,000 - 170,000; Full time

Job summary

An established industry player is seeking a Compliance Advisory Officer to join their dynamic team in Stamford. This role is crucial in providing compliance support for Sales and Trading, ensuring adherence to broker-dealer and swap dealer regulations. The ideal candidate will thrive in a fast-paced environment, demonstrating strong analytical and interpersonal skills while managing compliance projects. With a focus on collaboration across departments, you will play a key role in guiding the business through regulatory complexities and enhancing compliance training. If you're ready to make a significant impact in a pivotal role, this opportunity is for you.

Benefits

Annual discretionary bonus

Medical, dental, and vision plans

Life and disability insurance

Employee wellness programs

Retirement and savings plans

Generous paid time off policy

Parental leave

Tuition reimbursement

Qualifications

• 3-5 years of experience in broker-dealer and swap dealer compliance.
• Knowledge of FINRA, SEC, CFTC, DTCC, and NFA regulations.

Responsibilities

• Provide compliance guidance on rules and regulations for sales and trading.
• Assist with regulatory inquiries and examinations.
• Develop and deliver compliance training for sales and trading.

Skills

Broker-dealer regulations knowledge

Strong communication skills

Project management skills

Analytical skills

Interpersonal skills

Ability to work independently

Education

BA/BS degree

MBA or JD (preferred)

Job description

This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.

Job Description

The Compliance Advisory Officer reporting to the Compliance Advisory Lead will serve as a Sales and Trading Compliance Advisory and Conduct Risk Officer for the Legal and Compliance Department. As a member of the US Advisory Compliance team, the Compliance Advisory Officer will support businesses and products within the Natwest Market’s Sales and Trading business including the US Rates, Repo, Swap Dealer, and Credit Sales & Trading desks.

The ideal candidate will be able to work autonomously in a fast-paced, highly demanding and often changing environment while maintaining attention to detail. The Compliance Advisory Officer will also be able to manage compliance and regulatory related projects, working with the broader Legal and Compliance team and cross-functionally. The ideal candidate will have experience with broker-dealer and swap dealer rules and regulations and providing compliance support and advice to front office staff.

Key Responsibilities

1. Provide guidance on rules and regulations relating to the business, supporting functions, product issues, as well as, provide transactional approvals and interpretation of compliance policies.
2. Provide subject matter expertise on rules and regulations pertaining to fixed income sales and trading including but not limited to CFTC Swap Dealer Rules, TRACE Reporting, Primary Dealer Rules, and FINRA rules.
3. Assist with regulatory inquiries and examinations. This may include coordination with Legal, Regulatory Affairs, other departments within the firm and regulators.
4. Collaborate with internal stakeholders such as legal, business risk management, operations, finance and other control functions to address compliance issues which may impact the function, business, or product.
5. Support the function or business in performing reviews of new or substantially changed products and/or services.
6. Assist in the development, administration and delivery of compliance training for sales and trading.
7. Research any new laws, rules or regulations and implementing policies, procedures or other controls necessary to comply with the rules.
8. Perform additional duties as required.

Knowledge and Experience:

1. 3 to 5 years of broker-dealer and swap dealer experience including knowledge of FINRA, SEC, CFTC, DTCC and NFA regulation.
2. Knowledge of broker-dealer and swap dealer compliance laws, rules and regulations.
3. Strong interpersonal skills with the ability to work collaboratively with people at all levels of the organization.
4. Strong written and verbal communication skills.
5. A desire to learn and develop new skills and expertise.
6. Ability to work independently.
7. Able and willing to speak up and challenge where needed.
8. Ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner.
9. Strong project management and organizational skills and the capability to handle multiple projects at one time.
10. BA/BS required, MBA or JD a plus.

The expected base annual salary range for this position is $133,000 - $170,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.

It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship,