An international bank is seeking a Securities Swap Dealer Compliance Officer to support the growth of their advisory compliance team aiding the implementation of new Securities Swap Dealer policies, working with existing CFTC and Dodd Frank policies, and remediating any regulatory issues. This position will require direct advisory work with the trading floor, and a knowledge of FX, Futures, and Commodities regulations. In addition, the position will work directly with key internal stakeholders and regulators to effect change and enhance the compliance program.
- 5+ years experience in CFTC, SEC, NFA swap dealer regulations
- 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
- JD highly preferred