Role: Director, Regulatory Compliance Advisory (Global Markets)
Location: New York, NY (Hybrid)
Division: Global Markets Compliance

A leading global financial institution is seeking a Director to join its Global Markets Regulatory Compliance Advisory team. This role focuses on regulatory advisory support for both the registered swap dealer and security-based swap dealer, in alignment with U.S. regulatory requirements from the SEC, CFTC, and NFA. The position is central to the design, implementation, and ongoing refinement of compliance programs related to swaps and security-based swaps.

You’ll work cross-functionally with Legal, Risk, Operations, Finance, and senior stakeholders across the business, providing expert guidance on evolving regulatory requirements and helping the firm meet its compliance obligations.

Key Responsibilities:

• Lead the development and execution of a robust Security-Based Swap Dealer (SBSD) Compliance Program

• Provide day-to-day advisory support to front office and support functions on SEC, CFTC, and NFA requirements

• Collaborate on regulatory exams and inquiries, ensuring timely and accurate responses

• Monitor regulatory developments and translate them into actionable insights for business stakeholders

• Review and maintain policies and procedures aligned with swap-related regulatory frameworks

• Participate in new product reviews to identify and address potential compliance risks

• Support the Chief Compliance Officer in producing the annual CCO report

• Design and manage monitoring and surveillance programs to assess risk and ensure program effectiveness
   

You’ll Work Closely With:

• Front Office (Trading, Sales)

• Legal, Risk, Operations, and Audit functions

• External regulators (SEC, CFTC, NFA)

Requirements:

• 8+ years of compliance advisory experience, ideally in capital markets or derivatives

• Strong understanding of swap and SBSD regulations under the SEC, CFTC, and NFA

• Experience engaging directly with U.S. regulators and navigating regulatory exams

• Ability to translate complex regulations into practical compliance strategies

• Strong judgment, attention to detail, and comfort operating in a fast-paced environment

• Working knowledge of capital markets products (e.g., FX, IR derivatives, fixed income)

• JD or other advanced degree a plus

• NFA SPR or eligibility to register upon hire

This is an excellent opportunity to help shape a regulatory program in a globally active environment, with direct exposure to market-facing activities and senior leadership.

To apply or learn more, please reach out directly or submit your application via LinkedIn.