Head of Swap Dealer Compliance – Chief Compliance Officer (CFTC & SEC)

Full Time

Broker-Dealer Client

Office Status: Hybrid (2-3 days per week in office)

Responsibilities:

  • Manage the Swap Dealer team with advisory coverage of swap dealer including sales and trading activity in the U.S. office, as well as the global impact of the relevant U.S. regulations.
  • Responsible for the Bank’s swap dealer compliance program, covering swaps activities in interest rates, commodities, credit, equities and foreign exchange.
  • In collaboration with stakeholders throughout the organization, responsible for overseeing the ongoing development of processes, policies, and procedures to help ensure compliance with the relevant statutory and regulatory requirements, including rules and regulations issued by the SEC, NFA, and CFTC.
  • Annually prepare a report containing a description of the swap dealer’s compliance with the applicable regulations as required by CFTC and SEC rules
  • Identify and investigate weaknesses in relevant policies, procedures, systems and training and recommend corrective action.
  • Provide training and education to make employees aware of their compliance responsibilities, including conducting formal and informal compliance training, creating training and educational materials (memoranda, presentations, bulletins).
  • Maintain an awareness of and monitor the regulatory environment for emerging legislation and policy statements, along with relevant trends and industry best practices applicable to SDs
  • Coordinate with various support and control groups within the swap dealer, such as Legal, Finance, Risk, Operations, IT, to help ensure compliance
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