Vice President, Product Compliance Officer
- Compensation
- $165K–$200K
- Location
- New York
- Work setup
- Hybrid
- Seniority
- C level
- Employment
- Not specified
- Experience
- 6+ years
- Category
- Legal
- Posted
Skills
Must have
- 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.
Nice to have
- Experience within foreign banking organization environment.
- Knowledge of regulatory change management and horizon scanning processes.
Full description
Risk| Compliance Conduct & Ethics | Vice President, Product Compliance Officer | New YorkAbout ING:
In the Americas, ING’s Wholesale Banking division offers a broad range of innovative financial products and services to domestic and international corporate and institutional clients.
When you come to work at ING, you’re joining a team where individuality isn’t just accepted, it’s encouraged. We’ve built a culture that’s fun, friendly and supportive – it’s the kind of place where you can be yourself and make the most of whatever you have to offer.
We give people the freedom to take risks, think differently, take ownership of their work, and make great things happen. We’re here to help you get ahead. And with our global network, there’s plenty of scope to take your career in new directions, perhaps even ones you’ve never considered. ING Americas follows a hybrid work model, allowing for in-office / work from home flexibility. Hybrid work arrangements vary based on business area.
Sound like the kind of place you’d feel at home? We’d love to hear from you.
About the position:
ING is seeking an experienced Vice President, Product Compliance Officer to join its Markets Compliance team. This role will provide compliance advisory coverage for a registered foreign Swap Dealer and U.S. Broker Dealer operating within a global banking organization and support trading, sales, and capital markets activities.
The successful candidate will serve as an advisor to Front Office, providing regulatory guidance, managing compliance risk, and supporting the firm's Swap Dealer and Broker Dealer compliance program, partnering closely with Legal, Risk, Operations, Technology, and Finance teams on strategic and regulatory initiatives.
About the department:
The Compliance Department provides independent oversight and regulatory guidance to the firm's capital markets and Swap Dealer activities. Working across business, risk, legal, and operations functions, the team helps ensure compliance with regulatory requirements while supporting responsible business growth and a strong culture of conduct and ethics.
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.