Swap Dealer Advisory, VP Stamford,United States Permanent Full Time \#R-00244527 Our people work differently depending on their jobs and needs. From hybrid working to flexible hours , we have plenty of options that help our people to thrive. This role is based in the United States and as such all normal working days must be carried out in the United States. **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._ **Scope of Role:** + Ongoing review and implementation of changes to the swap dealer and policies and procedures. + Advisory coverage of the NatWest Markets business globally. + IdentifyingUS regulatory updatesimpactingNatWest Markets business globally. **Responsibilities** + Provide advice to Front Office and support functions in relationtorequirements applicable toSwapDealers(SDs)operatingin Rates and Foreign Exchange (FX)products. + Work with legal and compliance colleagues globally, toassistwith remediation of gaps, deficiencies, or required enhancements to existing policies, processes and procedures and preparation of responses to regulatory inquires or audits relating to swap dealer + Recommend and assistinimplementingchanges to the swap dealer compliance program, relevantpoliciesand procedures on an ongoing basis. + Collaborate withotherfunctions to evaluate,establishand implement effective policies,proceduresand controls. + AssistSwap DealerRegulatory Advisoryand Horizon Scanning Leadto monitor, communicate internally, and in tracking and implementation of regulatory changes and industry developmentsimpactingthe Swap Dealer. + Participate in various internaland externalworking groups, committees, and forums and provide regulatory updates. + Assistwith the coordination and delivery of required compliance trainings. + Participate in ad-hoc special projects and initiatives as needed. **Deliverables:** + Being a contributing team player in a challenging and evolving regulatory environment, incorporating a positive and flexible approach. + Having a positive working relationship with internal stakeholders and relevant regulators. + Investigatingpossible instancesof non-compliance and escalating toappropriate teams/committees + Contributing totimelyresponses to regulatory inquiries or internal audit exams andassistingin effective remediation ofregulatory issuespertaining tothe Swap Dealer. **Experience** : + Experience withRates andFXproducts/services within capital markets and banking as well as a focused understanding of the risks inherent in such activities,productsand services. + In-depth knowledge and comprehension of regulatory requirements and global regulatory and industry trends relevant to derivatives, specifically CFTC/NFA swap dealer rules and regulations. + Experience writing and implementing policies and procedures, as well as remediating existing ones. + Ability to analyse regulations anddetermineimpact to the firm. + Ability toidentify, research and define compliance requirements and developappropriate policiesand procedures. + Ability to work collaboratively and persuasively with front office and control functions toleverageavailable resources and talent to help drive remediation activities to completion. + Ability to communicate with knowledge and credibility to all levels of management, includingappropriate managementcommittees or forums. + Excellent writing skills and strong research skills, analytical and problem-solving skills, and attention to detail. + Ability to effectively multi-task andmaintainpositive attitude under pressure. + Bachelor’s degreerequired + 4-7years of financial industry experience. Essential: + Experience working within a legal or compliance function of a Swap Dealer on Dodd-Frank (Title VII) rules and regulations or experience as a financial services regulator (e.g. CFTC, NFA, etc.) + Understanding of regulatory risk management and regulatory expectations. + Excellent PC Skills – MS Word,Exceland PowerPoint. Desirable:         + Project management experiencearoundregulatory compliance. + Understanding ofcompliance, conductandoperationalriskcontrols + Passing of the NFA Long-Track Swaps Proficiency Examand/or Series 3 + Understanding of rules and regulationspertaining tothe futures markets The expected base annual salary range for this position is $180,000 - $200,000 at the start of employment. This is not a guarantee of compensation. The exact compensation isdeterminedonan individualized basis and may vary based on skills, experience, training licensure,certificationsand 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, parentalleaveand 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, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran – review "EEO Is** **The** **Law", “EEO is the law- Supplement” & “Pay Transparency Provision” posters** here (https://www.dol.gov/ofccp/regs/compliance/posters/ofccpost.htm) **.**