Compliance Global Markets Compliance Swap Dealer Associate/VP

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Compliance, Global Markets Compliance, Swap Dealer, Associate/VP
Responsibilities: 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.

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