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Regulatory On Boarding Specialist
Ref No.: 18-06244
Location: New York, New York
Global Financial Firm located in New york, NY has an immediated contract for an experienced Regulatory On Boarding Specialist -

Responsibilities: As a Regulatory On Boarding Specialist ( "ROBS”), you will facilitate the on boarding of institutional clients to CIB and their respective capital markets activities, ensuring that they have satisfied their regulatory obligations before establishing an account. To that end, the Regulatory On Boarding Specialist will be required to interact with clients, internal and external, to obtain answers in the form of affirmative responses, classification codes, and or documentation to satisfy the myriad of industry regulation (EMIR, Dodd Frank, CFTC Rules, etc.) governing the respective products or activity. The Regulatory On Boarding Specialist will work closely with stakeholders contributing to the overall process of on boarding, such as Legal Department, Risk/Credit Department, Client Integration, KYC/Due Diligence Officers, Regulatory Reform Client Contact ( "R2C2”) and Business management. The role is critical to the overall on boarding process and the ROBS must be able to communicate concisely on regulatory topics. Moreover, the Regulatory On Boarding Specialist will be responsible to memorialize client responses and record them to appropriate internal systems to enable the account opening. Further the Regulatory On Boarding Specialist will act as a single point of contact for internal and external clients to answer regulatory questions and to provide input on governance around collecting regulatory requirements during the onboarding process. Regulatory On Boarding Specialists will work closely with Regulatory Reform Client Contacts ( "R2C2”) as their mandate may overlap and at time may require larger resources.


Minimum required qualifications
  • Minimum of 2 years of relevant financial industry experience
  • Educational experience – BA or BS
  • Preference to majors in Economics, Finance, Accounting, Computing, Mathematics or other related field of study
  • Knowledge of banking operations, rules and regulations that govern banking operations (i.e. Client, Dodd Frank, CFTC, EMIR, etc.)
  • Working knowledge of computers and of standard software (MS Suite); proficiency with MS Excel
  • Excellent communications skills, (oral and written)
  • Strong organizational skills and workflow management
  • Ability to work under pressure and manage priorities (multi-task) – meet tight deadlines
  • Ability to work in a team environment
  • Project management experience 1-2 years;
  • Ability to work across spectrum of seniority;
  • Exposure to IT development and project coordination testing
  • Knowledge of third party vendors such as Dealogic and Markit
  • Must know how to use Excel functions such as v-lookups, pivot table and have an understanding of how to organize/analyze data sets
  • Strong sense of urgency with respect to deadlines and the responsibility at hand
  • Rigorous attention to detail
  • Articulate/Excellent communication skills


Preferred qualifications:
  • Fluent in French, Portuguese, other languages a plus
  • Project Management skills or certifications a plus
    Client Registrations Required:
    Not Applicable