Swap Dealer Compliance Advisory VP

Full Time

International Banking Client

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

Salary: $120,000 – $190,000


  • Assisting the SD CCO in administering a Swap Dealer Compliance program
  • Advising Sales and Trading and related Operations teams on CFTC swap regulations involving Foreign Exchange and Interest Rate derivatives
  • Advising Sales and Trading and related Operations teams on SEC Security-Based Swap regulations
  • Performing root cause analysis, applicability and control reviews and risk assessments
  • Helping maintain written policies and procedures of swaps and security-based swaps
  • Contributing to internal reports (e.g., management committees and the Board)
  • Working closely with impacted business units and risk & support functions regarding potential and actual changes in CFTC, NFA and SEC rules, regulations and interpretive guidance
  • Leading the implementation of new / amended rules and regulations
  • Working with Americas Compliance Testing and Internal Audit of the Americas to ensure compliance testing is appropriate based on the level of risk
  • Liaising with the Surveillance Team on disposition of alerts related to communications and trading
  • Assisting with the development and delivery of compliance training
  • Conduct ongoing compliance risk assessments and coordinate with business leads to identify and mitigate risks and control gaps
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