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About the Role
ING is seeking an experienced Vice President, Product Compliance Officer to join its Markets Compliance team. This role will provide compliance advisory coverage for a registered foreign Swap Dealer and U.S. Broker Dealer operating within a global banking organization and support trading, sales, and capital markets activities. The successful candidate will serve as an advisor to Front Office, providing regulatory guidance, managing compliance risk, and supporting the firm's Swap Dealer and Broker Dealer compliance program, partnering closely with Legal, Risk, Operations, Technology, and Finance teams on strategic and regulatory initiatives.
Responsibilities
- Provide day-to-day compliance advisory support to sales and trading businesses across derivatives, fixed income, treasury, and repo products.
- Advise on applicable CFTC, NFA, SEC, FINRA, and other regulatory requirements.
- Support the Swap Dealer and Broker Dealer Compliance Program, including policies, procedures, controls, and regulatory change initiatives.
- Provide subject-matter guidance on Dodd-Frank swap data and real-time reporting, including reporting controls, data quality, and regulatory reconciliations.
- Assess compliance requirements and controls relating to collateral management, margin processes, and swap dealer risk exposure reporting.
- Advise on broker-dealer transaction and audit trail reporting obligations, including CAT and TRACE reporting.
- Review new products, business initiatives, and trading activities for regulatory compliance risks.
- Conduct compliance monitoring and surveillance reviews and assist with issue remediation efforts.
- Participate in regulatory examinations, audits, and inquiries.
- Deliver compliance training and promote a strong culture of conduct and compliance.
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 in 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.
- Experience within foreign banking organization environment.
- Knowledge of regulatory change management and horizon scanning processes.
- Excellent communication, analytical, and stakeholder management skills.
- Attention to detail and document governance discipline.
- Ability to manage multiple priorities in a dynamic regulatory environment.
- Continuous improvement mindset.
Skills
- Communication
- Analytical
- Stakeholder management
- Attention to detail
- Document governance
- Regulatory change management
- Horizon scanning
Location
- New York
Work Type
- Hybrid
Experience Level
- Vice President
- 6+ years
Salary/Compensations
- $165,000-200,000
Benefits
- Discretionary bonus program
- Comprehensive health benefits
- $0 premium medical plan with HSA
- Generous 401k savings plan
- Competitive PTO
- Adoption, surrogacy, and fertility services
- Student debt assistance
- Subsidies for commuting expenses
- Subsidies for fitness expenses
About the Company
- In the Americas, ING’s Wholesale Banking division offers a broad range of innovative financial products and services to domestic and international corporate and institutional clients.
- ING Americas follows a hybrid work model, allowing for in-office / work from home flexibility.
- ING Bank does not have a commercial banking license in the U.S. and therefore not permitted to conduct a commercial banking business in the U.S. Through its wholly owned subsidiary ING Financial Services LLC, and its affiliates, it offers a full array of wholesale products such as commercial lending and a full range of FM products and services.
Equal Opportunity
- ING is a committed equal opportunity employer. We welcome applicants of diverse backgrounds and hire without regard to race, gender, religion, national origin, citizenship, disability, age, sexual orientation, or any other characteristic protected by law. We celebrate these differences and rely upon your unique perspective to innovate and seize new opportunities. Come as you are.