Compliance Officer, Swap Dealer
The Compliance Officer for the Swap Dealer and Security-Based Swap Dealer ensures adherence to regulatory requirements and industry standards for swap dealing activities. The role develops compliance strategies, conducts risk assessments, delivers training, monitors and tests controls, prepares reports, investigates violations, recommends corrective actions, engages stakeholders, and improves compliance processes.
Responsibilities
- Ensure compliance with swap dealer regulations
- Develop, review, and update compliance policies and procedures
- Conduct risk assessments for swap dealing operations
- Design compliance training programs
- Assist with compliance monitoring and auditing or testing
- Prepare compliance reports for senior management and the board
- Maintain compliance and investigation records
- Lead investigations into compliance violations
- Recommend corrective actions
- Engage key stakeholders
- Implement compliance process improvements
Requirements
- Bachelor’s degree in Law, Business Administration, Finance, or a related field
- 5–8 years of compliance, legal, or related experience within a swap dealer or financial services environment
- In-depth knowledge of the Dodd-Frank Act, CFTC and SEC regulations, and NFA rules
- Experience in derivatives trading or a similar regulated industry
- Strong analytical and problem-solving skills
- Excellent communication and interpersonal skills
- Ability to manage multiple projects and meet deadlines
- Proficiency in compliance software and tools
- Strong organizational skills
- High ethical standards and integrity
- Ability to work independently and as part of a team
- Proactive and adaptable to change
Benefits
- Performance-linked bonus
- Equity
- Competitive benefits package