Serve as the leader in all aspects of compliance associated with the swap dealer and partner with various business units to aid in achieving their objectives. Work closely with management and members of the SXM compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firm’s compliance and regulatory obligations. Responsible for identifying areas of compliance improvement, strategize solutions to improve areas as identified and work towards the end goal of ensuring compliance with applicable rules and regulations. In addition to leading the oversight of the swap dealer compliance program, the CCO will provide management and the Board with periodic updates, ensure adequate policies and procedures are in place, administer the firm’s training program, coordinate and oversee regulatory exams and requests and prepare the annual CCO report.
Responsibilities· Daily oversight of the compliance program ensuring effectiveness and timely completion of tasks
· Responsible for ensuring adequate policies and procedures are in place for all swap dealer activities
· Identity and resolve any conflicts of interest that may arise
· Responsible for the administration of the swap dealer compliance training program
· Preparation and filing of the annual CCO report
· Serve as a lead compliance coordinator for regulatory requests and examinations (CFTC & NFA)
· Assist Management with strategic projects and initiatives
· Collaborate with other departments (e.g., Risk Management, Internal Audit, Human Resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with Corporate Counsel as needed to resolve difficult legal/compliance issues
· Serve as the lead point of contact for internal inquiries from other teams and business units
· Identify potential areas of compliance vulnerability and risk; develop and/or implement corrective action plans/controls for resolution and sustained compliance in the future
· Provide compliance support for new product, sales and technical initiatives
Qualifications· Bachelor’s degree in Finance or Business
· 7 to 10+ years of direct swap dealer compliance experience. Prior experience at a regulator, private firm or both required
· Expert knowledge of CFTC, NFA, and swap dealer rules required
· Demonstrated ability working collaboratively with people in connection with challenging issues
· Strong organization skills along with attention to detail
· Ability to manage multiple tasks and adapt to changing priorities in a fast-paced environment
· Ability to effectively present information and respond to questions from managers, customers, and the general public via effective written and oral communication skills
· Skilled in researching, interpreting, and disseminating information on compliance regulations and laws
· Ability to work independently
· Demonstrated proficiency using Microsoft Office
· Must be available for travel as needed – anticipated 5%- 15% of the time but potentially 25% at times
· Must be authorized to work in the US for any employer
· Maintains prompt and regular attendance
Location/Working conditions:
· Hybrid work schedule requiring a minimum of 3 days per week in office
· Chicago, NJ or NY office location
· Climate controlled office environment
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