Format Analyst

FORMAT ANALYST HYBRID 2 DAYS ONSITE MIDTOWN, MANHATTAN

ONLY QUALIFIED CANDIDATES WILL BE CONTACTED

NO SPONSORSHIP.

Primarily responsible for monitoring regulations. Works with risk owners to ensure that GMU complies with all required regulations. Assists with creating regulatory compliance frameworks for GMU.

1. Responsible for legal documentation, procedure manuals updates, FRB / NYSDFS examinations, compliance testing, and audits as needed.
2. Ensures BSA/AML compliance. Performs KYC process and conducts account opening, monitoring and closing processes for GMU customers/ counterparties.
3. Performs transactions / counterparties review and prepares monthly reports. Monitor credit line compliance.
4. Performs operational risk management, as well as development and improvement of internal controls.
5. Responsible for (i) ensuring that all trading desks’ activities are in compliance with the Volcker Rule; (ii) keeping up with any changes and new developments related to Volcker Rule provisions affecting the activities of GMU; and (iii) ensuring that the Market Making Desk, ALM Desk and Investment Desk Policies and Procedures remain in compliance with the applicable requirements of the Volcker Rule.