Current jobs related to Swap Compliance Lead - New York - Larson Maddox

  • Senior Compliance Officer

    4 days ago

    New York, New York, United States Citigroup Inc Full time

    Job SummaryWe are seeking a highly skilled and experienced Senior Compliance Officer to join our team at Citigroup Inc. in New York. The successful candidate will be responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management...

  • Chief Compliance Officer, Swaps Dealer

    6 days ago

    New York, New York, United States FalconX Full time

    About FalconXFalconX is a leading digital asset platform for institutions, providing trade execution, credit & treasury management, prime offering, and market making services. With global operations, industry-leading technology, and deep liquidity, we have facilitated client transactions of $1 trillion in volume. Our products and services are regulated,...

  • Chief Compliance Officer, Swaps Dealer

    43 minutes ago

    New York, United States FalconX Full time

    Who are we? FalconX is the most advanced digital asset platform for institutions. We provide trade execution, credit & treasury management, prime offering and market making services. Given our global operations, industry-leading technology and deep liquidity, we have facilitated client transactions of $1 trillion in volume. Our products & services are...

  • Director, Swap Dealer Compliance

    4 months ago

    New York, United States Greenwood Martin Full time

    Our client, a well-respected boutique bank, is seeking to add a Director to their Swap Dealer Compliance Team. This is an amazing opportunity to join a top firm with an excellent corporate culture, benefits, and compensation package.QualificationsBachelor's degree in Finance/Economics or related field from a top institution preferredThorough understanding of...

  • Director, Swap Dealer Compliance

    4 months ago

    New York, United States Greenwood Martin Full time

    Our client, a well-respected boutique bank, is seeking to add a Director to their Swap Dealer Compliance Team. This is an amazing opportunity to join a top firm with an excellent corporate culture, benefits, and compensation package.QualificationsBachelor's degree in Finance/Economics or related field from a top institution preferredThorough understanding of...

  • VP Compliance Testing Swap Dealer

    4 months ago

    New York, United States Experis Full time

    Our top banking client is seeking a Vice President of Compliance Monitoring & Testing (Swaps) to join their office in New York City. This position will  play an integral role in the development of the Monitoring and Testing program, and will have coverage over the banks Swap Dealer Operations.    Job Title: Vice President, Compliance Monitoring &...

  • Director, Swap Dealer Compliance

    2 days ago

    new york city, United States Greenwood Martin Full time

    Our client, a well-respected boutique bank, is seeking to add a Director to their Swap Dealer Compliance Team. This is an amazing opportunity to join a top firm with an excellent corporate culture, benefits, and compensation package.QualificationsBachelor's degree in Finance/Economics or related field from a top institution preferredThorough understanding of...

  • Vice President Swap Dealer and SBSD Compliance

    1 day ago

    New York, New York, United States TD Bank Group Full time

    Job DescriptionWe are seeking a highly skilled and experienced professional to join our team as a Vice President Swap Dealer and SBSD Compliance. This role will be responsible for leading our swap dealer compliance program, ensuring that we maintain the highest standards of regulatory compliance and risk management.Key ResponsibilitiesDevelop and implement...

  • Swap Dealer Head of Risk

    1 month ago

    New York, United States JCW Full time

    Our client is a reputable and industry leading insitutional crypto brokerage and they are seeking a head of risk. As the Head of Risk Management, you will oversee the identification, assessment, and mitigation of risks associated with our swap dealer operations. You will develop and implement risk management frameworks, ensuring compliance with regulatory...

  • Swap Dealer Head of Risk

    4 days ago

    New York, United States JCW Full time

    Our client is a reputable and industry leading insitutional crypto brokerage and they are seeking a head of risk. As the Head of Risk Management, you will oversee the identification, assessment, and mitigation of risks associated with our swap dealer operations. You will develop and implement risk management frameworks, ensuring compliance with regulatory...

  • Swap Dealer Head of Risk

    3 days ago

    new york city, United States JCW Full time

    Our client is a reputable and industry leading insitutional crypto brokerage and they are seeking a head of risk. As the Head of Risk Management, you will oversee the identification, assessment, and mitigation of risks associated with our swap dealer operations. You will develop and implement risk management frameworks, ensuring compliance with regulatory...

  • Compliance Director

    4 days ago

    New York, New York, United States Greenwood Martin Full time

    Our client, a highly regarded boutique bank, is seeking a seasoned professional to lead their Swap Dealer Compliance Team. This role offers a unique opportunity to join a leading company with a strong work environment, competitive salary, and a chance to make a meaningful impact in the financial industry. Key Responsibilities: * Develop and implement...

  • Chief Compliance Officer

    6 days ago

    New York, New York, United States StoneX Group Inc. Full time

    Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Key Responsibilities:Lead the oversight of the swap dealer compliance program, ensuring...

  • Chief Compliance Officer

    16 hours ago

    New York, New York, United States StoneX Group Inc. Full time

    Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our leadership team, you will be responsible for ensuring our compliance with applicable rules and regulations.Key Responsibilities:Lead the oversight of the swap dealer compliance...

  • Chief Compliance Officer

    6 days ago

    New York, New York, United States StoneX Group Inc. Full time

    Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Job Summary:The Chief Compliance Officer will serve as the leader in all aspects of...

  • Contract Swaps/Derivatives Project Manager

    1 month ago

    New York, United States Shulman Fleming & Partners Full time

    Job DescriptionJob DescriptionContract Swaps/Derivatives Project ManagerMUST be local to New York CityWork Schedule: HybridKey responsibilities include:Drive execution through the full project life cycle from strategic project planning to delivery including development of target state business processes, build and adoption of technology solutions. Strong...

  • Senior Compliance Risk Officer

    1 week ago

    New York, New York, United States Hispanic Technology Executive Council Full time

    Job SummaryWe are seeking a highly skilled Senior Compliance Risk Officer to join our team. As a key member of our Independent Compliance Risk Management (ICRM) team, you will be responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation.Key ResponsibilitiesDesign and...

  • Equity Swap Trade Support Specialist

    4 weeks ago

    New York, New York, United States Delta Capita Full time

    Equity Swap Operations AssociateLocation: New York Employment Type: Permanent / Full-Time We are thrilled to present a remarkable opportunity to join a leading Investment Bank within our Post Trade Services Team. As a key member of a dynamic Middle Office team, you will primarily focus on supporting the Equity Swap operations. Key Responsibilities:Engage...

  • Compliance Officer

    6 days ago

    New York, New York, United States Crédit Agricole CIB Limited Full time

    Job Title: Compliance Officer (Director) - Fixed IncomeCrédit Agricole CIB Limited is seeking a highly skilled Compliance Officer (Director) - Fixed Income to join our team. As a key member of our Global Markets Division, you will be responsible for ensuring compliance with regulatory requirements and industry standards.Key Responsibilities:Develop and...

  • Compliance Director

    2 weeks ago

    New York, New York, United States Compliance Recruitment Solutions Full time

    Job DescriptionCompliance Director - Private Funds ExpertWe are seeking an experienced Compliance Director to join our team at Compliance Recruitment Solutions. As a Compliance Director, you will be responsible for providing strategic compliance advice and solutions to our clients in the private funds industry.Key Responsibilities:Act as lead compliance...

Swap Compliance Lead

4 months ago

New York, United States Larson Maddox Full time

Our client is looking for an experienced Compliance Officer to join their Swap Execution Compliance team. In this role, you will support the Swap Execution Chief Compliance Officer (CCO) in maintaining adherence to the CEA, CFTC regulations, and pertinent international regulations.

K

ey Duties and Responsibilities:

  • Perform trade surveillance and real-time market monitoring, and conduct thorough investigations.
  • Evaluate and interpret relevant regulations and rules.
  • Communicate with regulatory bodies and the SEF's regulatory service provider.
  • Address and respond to regulatory inquiries.
  • Assist in conducting investigations and implementing disciplinary actions.
  • Provide compliance advisory services to various business units.
  • Update, draft, and review compliance policies.
  • Enhance and streamline compliance processes.
  • Oversee and approve system initiatives and enhancements related to SEF operations.
  • Identify and implement process improvements and system changes.
  • Prepare and submit reports to regulatory authorities and internal management.
  • Stay updated on regulatory changes and assess their impact.
  • Serve as a key defense line in a progressive and innovative business environment.
  • Organize and conduct educational sessions for business stakeholders.
  • Offer compliance support to a wide array of business operations within the company.

Essential Qualifications:

  • At least 7 years of experience in compliance related to derivatives, swaps, or commodities products.
  • Experience in trade surveillance, real-time market monitoring, and rule violation investigations.
  • Proficiency in providing compliance guidance to business and operations teams to address real-time trading issues.
  • In-depth knowledge of market structures, including swap dealing, reporting, and clearing.
  • Background in financial markets, particularly electronic trading.
  • Experience in responding to regulatory inquiries.
  • Excellent communication and interpersonal skills.
  • Proven ability to advise senior business leaders on compliance matters.
  • Ability to stay abreast of and advise on regulatory changes and developments.
  • Experience in drafting policies, procedures, and manuals, and preparing regulatory and internal reports.
  • Strong analytical skills with the ability to resolve complex issues and improve processes.


Preferred Qualifications:

  • Proficiency with financial trading technology.
  • Familiarity with Scila software or similar trade surveillance tools.
  • Enthusiasm for working in a collaborative and fast-paced environment.
  • JD degree is a plus.