Chief Compliance Officer, Swap Dealer

Advise internal stakeholders on CFTC and NFA swap dealer requirements, oversee compliance policies and procedures, manage regulatory inquiries and investigations, assess risks, resolve conflicts of interest, report to management and the board, test controls, and deliver compliance training.

Responsibilities

• Advise and implement enhancements to the overall Swap Dealer Compliance Program
• Oversee compliance policies and procedures
• Respond to regulatory inquiries, audits, examinations, and investigations, and liaise with the CFTC and NFA
• Manage non-compliance incidents and remediation tracking
• Resolve or mitigate conflicts of interest
• Report to management and the board of directors
• Conduct periodic testing of internal controls
• Develop and deliver swap dealer compliance training

Requirements

• 10+ years of legal or compliance experience
• Experience implementing and executing a swap dealer compliance program at a registered swap dealer
• Understanding of the Dodd-Frank Act and CFTC, NFA, and FRB regulations
• Experience interacting with CFTC, NFA, and FRB regulators
• Experience reporting to senior management
• Experience managing geographically distributed teams
• Familiarity with over-the-counter derivatives sales and trading, especially foreign exchange and interest rate derivatives
• Strong written and spoken communication
• Teamwork, interpersonal, and conflict resolution skills
• Ability to manage multiple complex projects
• Bachelor’s degree or equivalent experience

Benefits

• Overtime compensation when applicable
• Relocation assistance when applicable
• Performance-linked bonus
• Paid time off including sick time
• Paid company holidays
• Equity plan
• 401k retirement plan
• Health insurance
• Dental insurance
• Vision insurance