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Job

SVP Swap Dealer Compliance

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $180,000 - $190,000 base

  • Contact:

    Thomas Byrne

  • Contact email:

    t.byrne@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    Swap Dealer Compliance

  • Published:

    9 days ago

  • Expiry date:

    2022-03-12

  • Startdate:

    ASAP

We're working with a top invetsment bank who are looking to hire a swaps compliance specialist to join their team in New York.

Workng closely with their swap dealer compliance head you will be looking at the build out and continued improvement of their security based swap dealer program, in line with the upcoming regulations.

What you'll be doing: 

  • Assist in responding to regulatory inquiries, audits, examinations and investigations, and liaising with regulators (SEC, CFTC & NFA)
  • Assist the Swap Dealer team with advisory coverage of swap dealer including the sales and trading activity in the U.S. office, as well as the global impact of the relevant U.S. regulations
  • Serve as an escalation point for non-compliance issues and assist with managing non-compliance issues
  • Assist in drafting CCO annual reports for the firm’s SD entities
  • Assess the effectiveness of all in-scope CFTC rules
  • Develop and maintain reports for review by senior management in Compliance
  • Assist in the development and implementation of the Firm’s Security Based Swap Dealer (SBSD) compliance program, including facilitating SBSD registration

What they're looking for:

  • 6+ years experience in CFTC, SEC, NFA swap dealer regulations
  • Experience writing and implementing policies and procedures, as well as remediating existing ones
  • Bachelors degree level educated, JD not required but beneficial

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

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