Job Description

Contractor, Registration Compliance Officer

CIB – Ethics and Compliance

Location: Jersey City, New Jersey

Business Overview:

The Registrations Compliance team supports bank (U.S. SEC/Client registered broker-dealer; NFA/CFTC registered futures commission merchant/swap firm; holds memberships with various principal U.S./Non-U.S. Exchanges/Regulators) and its registered personnel from a licensing and registration perspective. In addition, the team supports bank (CFTC registered swap dealer) from an entity perspective and registration of its principals. The team collaborates closely across all business lines to ensure the firm and its registered employees are satisfying their regulatory obligations.

Candidate Success Factors:

Candidates are measured on the following four performance drivers, which will dictate how individual impact is considered on the Americas platform:

• Results and Impact

o Able to influence peers and team.

o Demonstrates good judgement when making decisions of high complexity and impact.

o Exercise appropriate autonomy in the execution and delivery of work.

o Responsible for driving outcomes, which have meaningful effect on team or department.

• Leadership and Collaboration:

o Creates trust with colleagues.

o Acts in leadership capacity for projects, processes, or programs.

• Client, Customer and Stakeholder Focus:

o Able to build relationships with a mix of colleagues and clients.

o Interacts regularly with management and department leaders.

o Demonstrates the ability to influence stakeholders at the team level.

• Compliance Culture and Conduct:

o Takes full responsibility for personal actions and demonstrates courage in facing problems and conflicts.

o Perceived as a person of high moral character; upholds corporate values and displays high ethical standards.

Responsibilities:

Registrations Compliance is responsible for maintaining accurate and complete Client and CFTC/NFA registration for Registered Representatives of bank and the swap dealer(s). In addition, ensuring the appropriate corporate filings and reporting obligations are timely satisfied.

• Provide advice/guidance on registrations/licensing requirements, processes and procedures

• Timely process Form U4, U5, 8R and 8T. Ensure that all new employees joining the firm in a position which requires securities/futures license(s) are adequately licensed or pass the appropriate exams.

• Prepare waiver/exemption letters for qualified representatives as needed.

• Coordinate/process Form Client/Form 7R filings/amendments on behalf of broker dealers/FCM/swap dealer.

• Track/monitor pending exams for employees required to be licensed. Update and distribute list to senior management, supervisors, business management & compliance advisory on a monthly basis.

• Ability to navigate Client Gateway/Web CRD, NFA ORS, Winjammer Electronic Filing System

• Partner with the various departments on initiatives, projects, policy, procedure development and issue resolution to mitigate risk.

• Develop/enhance policies, procedures and processes to comply with the regulations - SEC, CFTC, Client, NFA, state jurisdictions and other Self-Regulatory Organizations

• Participate in industry working groups/organizations (e.g. SIFMA, Association of Registration Mgt), attend networking events and conferences leveraging information to drive optimal issue resolution

Continuing Education:

Responsible for notifying registered representatives of their regulatory element continuing education requirement and NFA Ethics Training. Maintain log of registered representatives' completion and send reminder notifications to reg. rep., supervisors and compliance officers. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance.

• Notify all representatives registered as Associated Persons/Swap Client on behalf of the bank with the National Futures Association of their ethics training requirements.

• Coordinate with vendor to have ethics training material disbursed. Monitor completion and swiftly escalate overdue requirements.

• Work closely with Americas Compliance Training team to identify registered employees who are required to satisfy Firm Element training requirements.

Regulatory Reporting/Filings:

Play a key role in managing/processing filings in accordance with Client, NFA and CFTC rules/regulations. Notify the appropriate departments when regulatory filings are required/due. Work closely with supervisors, business management, Compliance, Legal, HR and Conduct Office to gather required information/documents for filings with regulators.

• Coordinate/submit Client 4530 filings; certain CFTC 1.12 filings; quarterly swap dealer Risk Exposure Reports; swap dealer/FCM annual CCO reports

Minimum Required Qualifications:

• BA or BS required.

• Minimum of 10 years of compliance experience with a broker dealer/financial services firm in a similar role.

• Strong knowledge of US registration rules and regulations, especially those of the SEC, Client, CFTC/NFA and U.S. state jurisdictions.

• Excellent execution skills with the ability to work successfully under demanding deadlines, manage multiple tasks and projects at the same time and in a change management environment.

• Strong organizational and project management skills and attention to detail.

• Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.

• Team player and ability to work collaboratively across the platform.

• Ability to understand implications of new regulations and to apply regulations to varying "real world” situations.

Preferred Qualifications:

• U.S. registration and licensing experience a plus.

Client Registrations Required:

• Not Applicable

CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required):

• Not Applicable

SEC Security-Based Swap Dealer Associated Person:

• Not Applicable

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