Compliance, Swap Dealer

4 months ago

Jersey City, United States Experis Full time

Our client is seeking a Compliance, Swap Dealer to join their team. The ideal candidate will have effective communication skills with the ability to articulate technical concepts and findings which will align successfully in the organization.

 

Job Title: Compliance, Swap Dealer 

Location: New York, New York

Pay Range: $80.00/hour - $85.00/hour


As a Compliance, Swap Dealer , you will advise internal stakeholders on implementation and development of CFTC, NFA and SEC swap dealer requirements, including developing relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting, metrics and assisting in the remediation of noncompliance matters. This position will require engagement with the business, including Global Banking and Markets, Private Wealth Management and Corporate Treasury as well as with Compliance, Legal, Operations, Engineering, Risk, Finance and Audit stakeholders. Knowledge of SEC, CFTC & NFA swap regulations is preferred to uplift the compliance program and assist the firm’s swap dealing entities and their Chief Compliance Officers (CCOs) satisfy their obligations under relevant rules.

Responsibilities
 

  • Advise and implement enhancements to the overall Swap Dealer Compliance Program, including policies and procedures
  • Assist in responding to regulatory inquiries, audits, examinations and investigations, and liaising with regulators (SEC, CFTC & NFA)
  • Assist in managing conflicts of interest and other issues that may arise in running the Swap Dealer Compliance Program
  • Advise the business on regulatory requirements, developments and expectations across the swap dealer regimes including swap data reporting, business conduct, margin among other areas
  • Assist in developing monitoring and testing to review and challenge controls and implementation of obligations with Compliance and business teams, and work with Audit on their ongoing reviews

Qualifications: 
  • Bachelor’s degree level educated within a relevant field
  • 5+ years’ experience in and knowledge of CFTC, SEC, NFA swap dealer regulations
  • Product knowledge and regulatory experience within the OTC derivatives and securities-based swaps businesses a plus
  • Assist with the monitoring, and testing of compliance programs

If this is a role that interests you and you’d like to learn more, click apply now and a recruiter will be in touch with you to discuss this great opportunity. We look forward to speaking with you
 
About ManpowerGroup, Parent Company of:  Manpower, Experis, Talent Solutions, and Jefferson Wells
ManpowerGroup® (NYSE: MAN), the leading global workforce solutions company, helps organizations transform in a fast-changing world of work by sourcing, assessing, developing, and managing the talent that enables them to win. We develop innovative solutions for hundreds of thousands of organizations every year, providing them with skilled talent while finding meaningful, sustainable employment for millions of people across a wide range of industries and skills. Our expert family of brands – Manpower, Experis, Talent Solutions, and Jefferson Wells – creates substantial value for candidates and clients across more than 75 countries and territories and has done so for over 70 years. We are recognized consistently for our diversity - as a best place to work for Women, Inclusion, Equality and Disability and in 2022 ManpowerGroup was named one of the World's Most Ethical Companies for the 13th year - all confirming our position as the brand of choice for in-demand talent.

 

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