AVP, Regulatory Risk Management Analyst

New York, New York
$100,000.00 - $110,000.00

Job Function:

Job Summary:

  • Monitor compliance of Risk Management Program policies and procedures.
  • Work with Regulatory Risk Lead in the Risk Management Department to maintain policies and procedures within the Risk Management Program.
  • Work with Regulatory Risk Lead in the Risk Management Department to develop new regulatory compliance measures.
  • Work closely with the front office to assess business needs and how to navigate regulatory framework to achieve revenue target and new business growth.
  • Work with Risk Management Teammates to train them on regulatory issues.

Essential Functions:

  • Monitor changes in the regulatory environment applicable to a US Swap Dealer
  • Develop, maintain and update risk related policies, procedures and other governance related documentation
  • Review, manage and develop policies to ensure appropriate Enterprise Risk controls are in place and that any changes/updates in policies are communicated in a timely manner
  • Work alongside internal groups such as Market, Credit, Liquidity and Operational Risk areas as well as Compliance, Legal, and Operations on matters related to risk controls, self-assessments, incidents and infrastructure projects
  • Oversee and manage projects related to control enhancement initiatives and other firm-level projects as they relate to the risk management governance structure
  • Develop and produce reports or metrics on exceptions to Enterprise Risk
  • Provide support and guidance for audits and regulatory examinations
  • Identify and escalate risk issues


 - 2-5 years of experience in derivative risk or closely risk-related position, preferably within the capital markets space.


Preferred Education/Licenses/Certifications/Registrations:

- Bachelor’s or Master’s degree in finance, business, or related quantitative field.

- Graduate degree, CFA, or FRM is considered a plus but not required   


Other Skills, Abilities and/or Training:  

  • Knowledge of derivatives and their key risks, particularly interest rate and FX products. Experience in the regulatory environment applicable to US Swap Dealer (e.g. Dodd-Frank, IHC of FBO and Volcker)
  • Knowledge of risk management framework (e.g. Regulatory Capital, VaR and stress-testing standards, counterparty exposure estimation, liquidity estimation, model assessment and validation, documentation and reporting approaches)
  • Good analytical and critical thinking skills.
  • Good communication skills and the ability to work on teams (The role is expected to collaborate with the entire Risk Management Group, and liaise with other groups within CM. Therefore it is essential the candidate be a team player with great communication skills.)
  • Ability to coordinate with internal departments and drive projects
  • Excellent verbal and written communication skills

Contact Details:

Dan Alzapiedi    914-595-5746