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ING

Digital banking and sustainable lending

Vice President, Product Compliance Officer

Regulatory Compliance & EthicsConfirmed live in the last 24 hours
Full-timeNew York, NY, USA

About the Job

Requirements

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

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.
  • Complete policy reviews and updates in a timely manner.
  • Maintain quality and accuracy in governance reporting.
  • Monitor and escalate regulatory developments effectively.
  • Track regulatory change implementation effectively.

Desired Qualifications

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

About the Company

ING

Digital banking and sustainable lending

ING provides digital banking and financial services to individuals and businesses worldwide. Its products and services include online and mobile banking, lending, payments, and advisory services designed to be frictionless so customers can make confident financial decisions. ING differentiates itself by focusing on sustainable choices, responsible lending, and sharing knowledge to help customers and partners realize their visions for a better future. The bank emphasizes empowerment over judgment and aims to finance change, partner with customers, and continuously innovate in a sustainable way. Its goal is to help people and businesses progress toward their goals while reducing barriers and making banking easier and more responsible.

Company size
10,001+
Company stage
IPO
Headquarters
Amsterdam, Netherlands
Founded
1991

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