Swap Compliance Lead

1 month 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.

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