Skip Navigation
International Banking Client

Swap Dealer Compliance Advisory VP

  • New York, NY
  • Full Time

Apply for the Swap Dealer Compliance Advisory VP position

"*" indicates required fields

Max. file size: 10 MB.
Drop files, or upload here
This field is for validation purposes and should be left unchanged.

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

Salary: $120,000 – $190,000

Responsibilities:

  • 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