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Job

Director Swaps Compliance

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $200,000 - $220,000 base

  • Contact:

    Thomas Byrne

  • Contact email:

    t.byrne@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    Director Swaps Compliance

  • Published:

    4 months ago

  • Expiry date:

    2022-04-19

  • Startdate:

    ASAP

We've partnered with an international bank looking for a Director to lead their swaps compliance group. This is a New York-based role with a hybrid remote policy in place.

This is an exciting opportunity to take the next step up for a VP or SVP to lead and be the director of a well-known banking institution as they grow their Swap Dealer Compliance Group.

What you'll be doing: 

  • Advising on the implementation of a compliance program pertaining to swaps and security-based swaps; proposed as proposed by the CFTC, NFA and SEC, FINRA 
  • Working closely with senior leadership on regulatory initiatives, issues, violations, or other matters of interest.
  • You'll be running point on Swap Dealer Compliance, acting as the subject matter expert for all matters relating to the Swap Dealer or Security-Based Swap Dealer.
  • Naturally, you will be the regulatory compliance contact for the CFTC, NFA and SEC, FINRA on certain complex inquiries, audits, and enforcement actions as they pertain to the bank's swaps program.

What they're looking for:

  • 8years + of Swap Dealer Compliance experience either with another banking institution/ Broker Dealer or Regulatory Body 
  • JD or MBA is a requirement with preference to business or finance majors

For more information please contact Thomas Byrne at Hamlyn Williams on t.byrne@hamlynwilliams.com

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