Vice President, Product Compliance Officer (Fintech)

Location: New York, with a hybrid work model

Salary: $165,000–$200,000 base salary, plus eligibility for a discretionary bonus

Company

ING provides wholesale banking products and services to domestic and international corporate and institutional clients through its global banking organization.

What you will do

• Provide day-to-day compliance advisory support to sales and trading businesses across derivatives, fixed income, treasury, and repo products.
• Advise Front Office and business stakeholders on CFTC, NFA, SEC, FINRA, and other regulatory requirements.
• Support Swap Dealer and Broker Dealer compliance programs, including policies, procedures, controls, and regulatory change initiatives.
• Provide subject-matter guidance on swap data and real-time reporting, reporting controls, data quality, regulatory reconciliations, collateral management, margin processes, CAT, and TRACE reporting.
• Review new products, business initiatives, and trading activities for compliance risks.
• Conduct monitoring and surveillance reviews, support issue remediation, participate in regulatory examinations and audits, and deliver compliance training.

Requirements

• 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 within 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.
• Excellent communication, analytical, stakeholder management, prioritization, and document governance skills.

Nice to have

• Experience within a foreign banking organization.
• Knowledge of regulatory change management and horizon scanning processes.

Culture & Benefits

• Hybrid work model with in-office and work-from-home flexibility based on the business area.
• Health benefits, including a $0 premium medical plan with HSA.
• 401k savings plan and competitive paid time off.
• Adoption, surrogacy, and fertility services.
• Student debt assistance and subsidies for commuting and fitness expenses.