Compliance Swap Dealer Compliance Vice President

Profile

Compliance, Swap Dealer Compliance, Vice President
The candidate will assist in responding to regulatory inquiries, audits, examinations and investigations, and liaising with regulators (SEC, CFTC & NFA). Assist the Swap Dealer team with advisory coverage of swap dealer including the sales and trading activity in the U.S. office, as well as the global impact of the relevant U.S. regulations. Serve as an escalation point for non-compliance issues and assist with managing non-compliance issues. Assist in drafting CCO annual reports for the firm’s SD entities. Assess the effectiveness of all in-scope CFTC rules. Develop and maintain reports for review by senior management in Compliance. Assist in the development and implementation of the Firm’s Security Based Swap Dealer (SBSD) compliance program, including facilitating SBSD registration. Should have 3+ years experience in CFTC, SEC, NFA swap dealer regulations. Bachelor's degree level educated within a relevant field. JD preferred. Experience writing and implementing policies and procedures, as well as remediating existing ones. Strong overall product knowledge and regulatory experience within the OTC derivatives and swap dealer businesses. Strong interpersonal skills and the ability to manage processes and key internal stakeholders. Work effectively with personnel in different office locations and in different time. Have project management experience involving large groups. Keep strategic direction in mind while still working on detailed tasks.

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