Compliance Advisory, Swap Dealer – VP

Full Time

International Banking Client

Office Status: Hybrid


  • Responsible for providing regulatory and compliance advice to business stakeholders, developing and providing training, and delivering on key initiatives impacting the Firm. Additional responsibilities will include:
    • Advise the business regarding regulatory requirements, internal policies and procedures, and compliance processes.
    • Collaborate with Compliance, Legal, Business Controls and other control function colleagues to enhance the overall Compliance program.
    • Escalate compliance-related matters that require input and or action from other internal stakeholders, including business line, Risk Management or other compliance colleagues.
    • Participate in business line project and initiative meetings, including new business initiatives
    • Participate in periodic meetings and open discussions with business partners to provide support and address compliance and risk concerns
    • Assist in the development, review, and updating of compliance policies and procedures to help ensure regulatory obligations.
    • Assist business partners to address new and/or modified regulatory requirements and ensure applicable policies and procedures are updated to reflect changes.
    • Provide subject matter support to Compliance teams and processes (e.g., Compliance Risk Assessment and Monitoring and Testing routines)
    • Assist in developing and delivering business line training content to meet regulatory and business requirements.
    • Maintain an objective and independent perspective and offer consistent compliance interpretations to first-line personnel.


  • Knowledge of U.S. laws, rules, and regulations pertaining to swaps dealers, including Title VII of the Dodd-Frank Act, associated CFTC regulations, and NFA rules.
  • Strong working knowledge of swaps and other derivative products.
  • Ability and confidence to successfully interact with management and senior traders.
  • Ability to analyze complex situations and provide guidance in time sensitive situations.
  • Excellent verbal and written communication skills including the ability to articulate relevant laws and regulatory requirements to business professionals.
  • Ability to work well independently as well as within a team environment.
  • Detail-oriented with ability to multitask, organize and prioritize.
  • 5+ years of compliance experience (advisory/regulatory) at a swap dealer. Additional relevant professional experiences will also be considered.
  • BA/BS required.
Upload your CV/resume or any other relevant file. Max. file size: 2 GB.

Share on