Swap Dealer Compliance Associate

3 weeks ago

New York, United States Phaxis Full time

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.


Responsibilities:

  • Lead compliance efforts for all Swaps executed through the Firm's Swap Execution Facility (SEF), serving as the primary point of contact for day-to-day compliance issues.
  • Develop and implement robust policies and procedures to ensure compliance with existing and emerging regulatory requirements, including those mandated by the CFTC, NFA, and other regulatory bodies.
  • Assist in compiling necessary information for regulatory reviews, audits, and other examinations.
  • Manage the preparation of the Annual Chief Compliance Officer (CCO) Report for the SEF, along with other mandated reports.
  • Interface with technology support and risk management to ensure compliance with Firm policies and industry regulations.
  • Develop and deliver training sessions on various regulatory matters to enhance awareness and understanding.


Qualifications:

  • Possess a deep understanding of NFA/CFTC Regulations, particularly pertaining to Swaps Rules and Regulations, Dodd Frank Title VII SEF Regulations.
  • 2+ years of relevant experience at a SEF, Introducing Broker, Broker-Dealer, or regulatory agency.



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