Vice President, Product Compliance & Regulatory Strategy

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

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