Swap Dealer Compliance Associate

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.

If interested don't wait to apply!