A company is looking for a Chief Compliance Officer for their Swap Dealer operations.Key ResponsibilitiesLead and oversee compliance programs for Swap Dealer employees, ensuring adherence to regulationsManage a team of compliance professionals focused on SDR reporting, trade surveillance, and trade reconstructionOversee the conversion of core systems and implementation of new transaction surveillance platformsRequired QualificationsStrong understanding of Interest Rate swaps, Commodity hedging, and Foreign Exchange transactionsSignificant experience with CFTC / NFA swap dealer regulations, including SDR reportingThorough understanding of industry trends and regulatory intelligence resourcesFamiliarity with back office and transactional systemsSatisfy NFA swaps proficiency requirements
Swap Dealer Chief Compliance Officer
A company is looking for a Chief Compliance Officer for their Swap Dealer operations. ...
SVP, Compliance Product Senior Officer - Swap Dealer - C14 (New York)
Specifically, the role is responsible for advising on compliance risk management activities for Citi's swap dealer entities with a focus on Swap Data Reporting (Trade Reporting), Margin, and other primarily operational rulesets, which involve multiple business lines and functions, globally, in relat...
Compliance Officer, Securities Based Swap Dealer
The Compliance Officer for Clear Street Derivatives (“CSD”), a Securities and Exchange Commission (SEC) Securities Based Swap Dealer (SBSD), will be responsible for implementing and maintaining CSD’s compliance program for its SEC regulated SBS activities. Work closely with the Chief Compliance Offi...
Chief Compliance Officer
The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for. The CCO will foster a culture of compliance and ensure local regulatory compliance requirements are met. Develop and manage all components of the compliance program and operations for a New York State a...
Chief Compliance Officer
As Chief Compliance Officer, you will lead and manage the broker-dealer compliance team, oversee the development and implementation of compliance programs, monitor regulatory changes and provide guidance to cross-functional teams in a fast-paced environment. Oversee the broker-dealer compliance prog...
Broker/Dealer Compliance Officer
LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the team led by the Chief Compliance Officer. Work with senior management, Legal, Compliance, HR, Marketing, registered representa...
Compliance Officer (Broker/Dealer)
LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the team led by the Chief Compliance Officer. Compliance Officer (Broker/Dealer) Siebert Williams Shank & Co. Work with senior...
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