SEF Compliance Surveillance & Advisory

Manhattan Permanent
  • Opportunity to work in a dynamic work environment
  • Client will move quickly with a qualified candidate

About Our Client

Our client is an reputable financial services firm located in Manhattan, NY.

Job Description

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.


Job Details

  • Liaise with regulators and respond to regulatory inquiries
  • Conduct trade surveillance monitoring, real-time market monitoring, and investigations.
  • Provide Compliance Advisory to the business
  • Draft, enhance, and maintain policies and procedures
  • Review and enhance system initiatives related to SEF functionality
  • Assist with conducting continuing education for business
  • Hold a strong understanding of the market structure, Swap dealing, reporting, and clearing

The Successful Applicant

Ideal Candidate's Profile

  • Bachelor's Degree required
  • JD Degree a plus
  • 3 to 5 year's experience in derivatives/swaps compliance
  • Strong knowledge and fluency with financial trading technology

What's on Offer

Our client offers a competitive market rate onboarding package.

Josh Delgado
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Job summary

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Josh Delgado
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