Associate - Regulatory Registrations - US Regulatory

1. US Regulatory , Regulatory Change, European Reg or Reg Reporting

2. Dodd Frank Ac

3. Experience in Investment Banking domain is must

Note - No KYC and ALM profiles

Role Purpose:

- Partner with the MSS NFR teams and businesses to ensure embedding of procedures and controls related to the Dodd Frank Act. The role also requires registration and management of GM Front Office staff on a range of European Exchanges.

The role includes:

- Timely and accurate training and competency assessment of certified persons within Global Banking, Markets, Markets Treasury and Research. This includes new joiners, transfers and ad-hoc requests;

- Designate GBM individuals under the Dodd Frank Act;

- GM Trader registration with a select number of European Exchanges;

- Provide accurate reporting to stakeholders in scope population;

- Act in accordance with FLOD controls and assist in the constant review and analysis of all procedures and policies in support of the above activities.

- Administer and ensure timely and accurate registration of Senior Executives with the NFA and the SEC

- Run MI and work with the Swap Dealer Compliance teams on regulatory visits and any submissions to the NFA/SEC

What you'll do: (List out Key Responsibilities):

- Impact on the Business

- US Regulatory landscape and European regulation on Training/Knowledge and Competence expertise

- Management of the CFTC and SEC regulators and Dodd Frank Act rules and regulation transferable knowledge

- Swap AP designations = investment bank and private bank (UK entity only)

- Exchanges registrations

- Assist with team audit and auditors - as and when required

- Customers / Stakeholders