Markets Compliance Officer - Control Room - Rabobank - New York, NY

In the Americas, Rabobank is present in the United States, Argentina, Brazil, Canada, Chile, Mexico, and Paraguay, providing both retail and wholesale banking services as well as real estate and leasing services. The bank’s wholesale banking products focus on these banking areas:

• Lending and Credit
  


• Trade and Commodity Finance
  


• Acquisition Finance
  


• Renewable Energy and Infrastructure Finance
  


• Global Client Solutions
  


• Mergers & Acquisitions Advisory
  


• Food & Agribusiness Research and Advisory
  


• Capital Markets
  

Your Function:

The responsibilities of the Markets Compliance Associate are part of the Compliance Department:

• Responsible to administer all facets of the Control Room functions for the North America Wholesale activities of Rabobank, including coordination with global colleagues on cross-border situations. Develop and review daily reports of activities and/or exceptions to identify conflicts and help ensure compliance with policies and regulations. Enhance the Watch List and Restricted List processes by working closely with global compliance colleagues and local Branch businesses to ensure, among other things, timely entry of potential opportunities to internal system(s) and providing timely advice as needed with regard to requirements under firm policies.
  


• Duties will include working with new, existing and departing employees to identify and effectively manage any personal or professional conflicts of interest, personal account dealing (including review and approval of trade pre-clearance requests), outside activities, and gifts and entertainment.
  


• Communications Reviews: Duties include monitoring of communications systems to identify conflicts and help ensure compliance with applicable policies and regulations.
  


• Assist in development and preparation of Markets Compliance related policies and procedures.
  


• As workload permits, work with other compliance staff on adhoc projects.
  


• Comply with all US laws, rules and regulations, including without limitation, AML and OFAC/Sanctions requirements and the reporting of suspicious activity (and all related policies, procedures and guidelines), as well as the:
  

Your Profile:

Qualifications:

• 3+ years of regulatory compliance experience
  


• Previous experience with Control Room activities
  


• Being time conscious when it comes to deliverables
  


• Strong Microsoft Suite skills, especially Excel, Word, and Outlook
  


• Desirable: Experience working for a non-U.S. based financial institution
  

Job Skills and Knowledge:

• Strong analytical, communication and decision-making skills
  


• Ability to work independently
  


• Excellent written and oral communication skills
  


• Good interpersonal skills in order to establish a rapport with internal and external parties
  


• Thorough knowledge of applicable laws and regulations
  


• Ability to read, analyze and interpret governmental regulations and regulatory issuances
  


• Ability to analyze complex issues and provide sound judgement in decision making process
  


• Must be well organized with the ability to manage multiple tasks
  

We Offer:

Rabobank New York Branch offers a comprehensive benefits program that is among the finest in the industry featuring:

• Medical/Dental/Vision Plans
  


• Defined Contribution (401k) Plan with Employer Match
  


• Paid Vacation based on position and length of service
  


• Life and Disability Insurance
  


• Health and Dependent Care Flexible Spending Plans
  


• Transportation Reimbursement Incentive Plan
  


• Educational Assistance Program
  

Also offering:

• Portable Voluntary Benefits including Pet Insurance
  


• Automobile and Homeowner’s Insurance
  


• Cancer Protection Plan
  


• Legal Insurance Plan
  


• Optional Life and Disability Insurance
  

Interested?

Candidates who are interested in this role are encouraged to apply directly online including their resume and related documents. If you have any questions, you can email Rachel.Marshalsea@Rabobank.com .