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VP Compliance - Swaps, Derivatives, Fixed income
Competitive Compensation Package
Chance to Manage your own career within a successful organization
About Our Client
My client is one of the largest and most successful financial services firms in the world with a presence in almost 100 countries.
- Work directly with traders, advising them on swaps and derivatives compliance within my client's broker-dealer.
- Devise derivatives and swaps compliance for a trading floor, then implementing the firm's strategy around that compliance program.
- Administer the swap dealer's policies and procedures reasonably designed to ensure compliance.
- Take reasonable steps to ensure compliance with applicable NFA and CFTC regulations.
- Establish procedures for the remediation of non-compliance issues identified by the CCO through a review, look-back, internal or external audit finding, self-reported error, or validated complaint.
- Establish procedures for the handling, management response, remediation, retesting, and closing of non-compliance issues.
- Prepare and sign the annual report.
The Successful Applicant
- Core Skill Set - CFTC Reg 3.3 and Title 7
- Institutional side, capital markets, broker dealer, securities, not retail
- Swaps, derivatives, fixed income
- Subject Matter Expertise
- Training and Education
- Policies and Procedures
- Annual Reporting
- Regulatory Inquiries and Developments
- Knowledge of Regulatory Compliance Program, First Line of Defense, interacting with BRCM
- JD a plus
What's on Offer
- Full benefits: health, vision, dental
- 401(k) match