Compliance Officer, Swap Dealer and Wholesale Compliance - Vice President

Tasks and responsibilities

• Manage a small compliance team and report to the Head of Compliance for the Wholesale Strategy Division
• Manage and administer assigned compliance tasks and responsibilities in close collaboration with the compliance function and the trading unit
• Manage and administer assigned compliance tasks and responsibilities in close collaboration with the compliance function, the trading unit, and internal audit
• Serves as a catalyst for compliance projects, particularly in connection with the regulatory profile of NFPE, including the review and analysis of business plans
• Overseeing the planning and assignment of daily supervisory duties within the compliance team
• Monitoring Training Requirements for the Trading Unit
• Providing advice and guidance on compliance policies, procedures, and regulations
• Providing advice and guidance on regulatory matters to the trading team and management
• Support for regulatory proposals for the CFTC, German, and relevant European legislation where designated compliance officers are employed within the company
• Understanding customers' needs and challenges and responding with high-quality solutions
• Acquiring the skills needed to fulfill one's responsibilities or contributing to one's development as a company-wide leader
• Generating new ideas that could challenge or reinforce the status quo

Teamwork and Collaboration

• Seeking input from experienced colleagues and taking their advice to achieve better results
• Collaboration with members of the relevant departments

Influence

• Contributing to the organization's success, both quantitatively and qualitatively
• Serving as a role model and providing guidance to junior employees
• Ensure that employees understand and adhere to compliance, risk management, and the code of conduct, and make decisions

Integrity

• A solid understanding of the company's philosophy, professional ethics, and business policies
• Fundamental opposition to any less favorable treatment based on existing or implied policies, sexual orientation, gender, marital status, pregnancy, or gender identity
• A desire to reflect carefully on one's current job; it is not an obligation, and it involves being mindful of the impact on others