Vice President, Product Compliance Officer

ING; New York (NY); Hybrid; USD 165,000 - 200,000; Full time

Benefits offered by this job

Health benefits

$0 premium medical plan with HSA

401k savings plan

Adoption/surrogacy/fertility services

Student debt assistance

Commuting and fitness subsidies

Paid time off

Job summary

ING is seeking an experienced Vice President, Product Compliance Officer in New York to provide regulatory guidance and advisory coverage for a foreign Swap Dealer and U.S. Broker Dealer within a global banking organization.

The role partners with Legal, Risk, Operations, Technology, and Finance to support regulatory initiatives. The successful candidate will oversee compliance programs, advise Front Office, and help manage Dodd-Frank data, reporting controls, and risk exposures across

Qualifications

• 6+ years of Compliance or Regulatory experience within a foreign swap dealer, broker-dealer, or global financial institution.
• Strong knowledge of CFTC and NFA swap dealer regulation.
• Demonstrated knowledge of SEC and FINRA broker-dealer requirements.
• Product knowledge covering derivatives, fixed income and equity securities, treasuries, repo products, and related sales and trading activities.
• Experience providing regulatory advisory support to trading and sales businesses.

Responsibilities

• Provide day-to-day compliance advisory support to sales and trading businesses across derivatives, fixed income, treasury, and repo products.
• Advise on applicable CFTC, NFA, SEC, FINRA, and other regulatory requirements.
• Support the Swap Dealer and Broker Dealer Compliance Program, including policies, procedures, controls, and regulatory change initiatives.
• Provide subject-matter guidance on Dodd-Frank swap data and real-time reporting, including reporting controls, data quality, and regulatory reconciliations.
• Assess compliance requirements and controls relating to collateral management, margin processes, and swap dealer risk exposure reporting.
• Advise on broker-dealer transaction and audit trail reporting obligations, including CAT and TRACE reporting.
• Review new products, business initiatives, and trading activities for regulatory compliance risks.
• Conduct compliance monitoring and surveillance reviews and assist with issue remediation efforts.
• Participate in regulatory examinations, audits, and inquiries.
• Deliver compliance training and promote a strong culture of conduct and compliance.

Skills

Compliance advisory

Regulatory knowledge

Derivatives & fixed income

Trading & sales support

CFTC/NFA knowledge

SEC/FINRA knowledge

Job description

Risk| Compliance Conduct & Ethics | Vice President, Product Compliance Officer | New York

About ING:

In the Americas, ING's Wholesale Banking division offers a broad range of innovative financial products and services to domestic and international corporate and institutional clients.

When you come to work at ING, you're joining a team where individuality isn't just accepted, it's encouraged. We've built a culture that is fun, friendly and supportive – it's the kind of place where you can be yourself and make the most of whatever you have to offer.

We give people the freedom to take risks, think differently, take ownership of their work, and make great things happen. We're here to help you get ahead. And with our global network, there’s plenty of scope to take your career in new directions, perhaps even ones you've never considered. ING Americas follows a hybrid work model, allowing for in-office / work from home flexibility. Hybrid work arrangements vary based on business area.

Sound like the kind of place you'd feel at home? We'd love to hear from you.

About the position:

ING is seeking an experienced Vice President, Product Compliance Officer to join its Markets Compliance team. This role will provide compliance advisory coverage for a registered foreign Swap Dealer and U.S. Broker Dealer operating within a global banking organization and support trading, sales, and capital markets activities.

The successful candidate will serve as an advisor to Front Office, providing regulatory guidance, managing compliance risk, and supporting the firm's Swap Dealer and Broker Dealer compliance program, partnering closely with Legal, Risk, Operations, Technology, and Finance teams on strategic and regulatory initiatives.

About the department:

The Compliance Department provides independent oversight and regulatory guidance to the firm's capital markets and Swap Dealer activities. Working across business, risk, legal, and operations functions, the team helps ensure compliance with regulatory requirements while supporting responsible business growth and a strong culture of conduct and ethics.

Responsibilities:

• Provide day-to-day compliance advisory support to sales and trading businesses across derivatives, fixed income, treasury, and repo products.
• Advise on applicable CFTC, NFA, SEC, FINRA, and other regulatory requirements.
• Support the Swap Dealer and Broker Dealer Compliance Program, including policies, procedures, controls, and regulatory change initiatives.
• Provide subject-matter guidance on Dodd-Frank swap data and real-time reporting, including reporting controls, data quality, and regulatory reconciliations.
• Assess compliance requirements and controls relating to collateral management, margin processes, and swap dealer risk exposure reporting.
• Advise on broker-dealer transaction and audit trail reporting obligations, including CAT and TRACE reporting.
• Review new products, business initiatives, and trading activities for regulatory compliance risks.
• Conduct compliance monitoring and surveillance reviews and assist with issue remediation efforts.
• Participate in regulatory examinations, audits, and inquiries.
• Deliver compliance training and promote a strong culture of conduct and compliance.

Qualifications and Competencies

• 6+ years of Compliance or Regulatory experience within a foreign swap dealer, broker-dealer, or global financial institution.
• Strong knowledge of CFTC and NFA swap dealer regulation in a foreign Swap Dealer institution.
• Demonstrated knowledge of SEC and FINRA broker-dealer requirements.
• Product knowledge covering derivatives, fixed income and equity securities, treasuries, repo products, and related sales and trading activities.
• Experience providing regulatory advisory support to trading and sales businesses.

Preferred

• Experience within foreign banking organization environment.
• Knowledge of regulatory change management and horizon scanning processes.

Key Competencies

• Excellent communication, analytical, and stakeholder management skills.
• Attention to detail and document governance discipline
• Ability to manage multiple priorities in a dynamic regulatory environment
• Continuous improvement mindset

Success Measures

• Timely completion of policy reviews and updates
• Quality and accuracy of governance reporting
• Effective monitoring and escalation of regulatory developments
• Strong regulatory change implementation tracking

Salary Range: $165,000-200,000

The salary range listed reflects base salary only. This role is eligible for participation in a discretionary bonus program.

In addition to comprehensive health benefits (including a $0 premium medical plan with HSA), a generous 401k savings plan, and competitive PTO, ING provides a broad array of benefits including adoption, surrogacy, and fertility services; student debt assistance; and subsidies for expenses associated with commuting and fitness.

ING is a committed equal opportunity employer. We welcome applicants of diverse backgrounds and hire without regard to race, gender, religion, national origin, citizenship, disability, age, sexual orientation, or any other characteristic protected by law. We celebrate these differences and rely upon your unique perspective to innovate and seize new opportunities. Come as you are.

ING Bank does not have a commercial banking license in the U.S. and therefore not permitted to conduct a commercial banking business in the U.S. Through its wholly owned subsidiary ING Financial Services LLC, and its affiliates, it offers a full array of wholesale products such as commercial lending and a full range of FM products and services.