Director, Trade Floor Conduct/Supervision

Full Job Description

Management, as the First Line of Defense (“1LOD”), is accountable for compliance with laws, and regulatory

requirements applicable to their business areas which includes direct accountability for Global Markets and indirect

accountability for Regulatory Risk and Services’ accountabilities within the region.

To meet this responsibility,

Management is responsible for the design, implementation and effective operation of an Operating Group Compliance

Program (“OGCP”) for their respective Operating Group.

Additionally, Management may be appointed as the lead of 1LOD to supervise and support the operation of the business to ensure compliance with OGCP policies, process and procedures.

The role of the Director is based upon the common principle that the individual(s) in that role have the capability and authority outlined in this job description to serve as Management's primary person(s) to supervise and support the operation in an assigned Business Unit(s) (“BU”).

 Assess data and make informed decisions and sound subjective judgments to monitor trading activity for compliance with the relevant rules and regulations.

 Escalation to LOB Supervisors of issues that require attention

 Handle "on-the-fly; requests from LOB Heads and trading staff for situation specific advice. This may involve

requesting interpretations.

 Identify key trade and risk attributes.

 Assist in maintaining comprehensive professional reporting templates.

 Present to stakeholders within the organization including Line of Business Management and work with

technology partners to ensure timely and effective technology program delivery.

 Communicate high order concepts in concise and meaningful way.

 Conduct user acceptance testing of new technology implementations.

 acting in the capacity of an advisor to the business on regulatory matters and also

 In addition to direct reports, serve as senior person for the staff in the location