Compliance Officer
Our client is a boutique trading firm that has an immediate opening for a Compliance Officer (CO). The CO is responsible for the implementation and management of the swap dealer compliance program for THE COMPANY. The individual will be responsible for keeping up to date with regulatory changes and ensuring team members are knowledgeable in their field. The CO will develop a robust compliance program, work closely with senior managers in the firm’s Business Trading Unit (BTU) and Risk Management Unit (RMU) and ensure compliance with all applicable regulatory requirements. The CO is also responsible for ensuring Senior Managers and Executives are aware of regulatory developments that impact the firm.
Principal Duties & Responsibilities:• Manage the continual development and implementation of the Swap Dealer Manual and ensure that the Manual is reasonably designed to ensure compliance with the requirements of Title VII of the Dodd-Frank Act (DFA).
• Assist with a gap analysis to identify and update all impacted policies, procedures and business operations globally based on new regulations implementing the DFA.
• Provide ongoing support to the CCO, including:
o Recommend and implement changes to the compliance program and the Swap Dealer Manual and related policies/procedures as needed on an ongoing basis.
o Draft and coordinate the dissemination of regular Compliance Alerts/Reminders to ensure that the BTU and RMU are aware of new rules/regulations and policies/procedures relating to the DFA.
o Work with Compliance inspection teams and other RMU units to continually develop, test and monitor the effectiveness of the policies and procedures for the Swap Dealer.
o Work with the RMU on annual risk assessments.
o Work with Compliance on the development and coordination of initial and ongoing training to employees on requirements impacting the Swap Dealer.
o Prepare the Annual CCO Report and any other required periodic reports that the firm or the CCO must make, either to the Swap Dealer’s governing body or relevant regulatory authorities.
Critical Knowledge, Skills & Experience:• The candidate must be eligible to work in the USA (No H1 Visa Sponsorship)
• Five to seven years of compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm.
• Bachelor’s degree; JD a plus.
• Strong knowledge of laws, rules and regulations pertaining to financial services firms; knowledge of CFTC and/or NFA regulations a plus.
• Working understanding of Title VII of the Dodd-Frank Act as pertains to the obligations of Swap Dealers and the regulations thereunder.
• Experience developing a Swap Dealer Compliance program to meet the requirements of the Dodd-Frank Act.
• Excellent oral and written communication skills.
• Ability to project confidence and professionalism in all dealings with business personnel.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor environment.
• Familiarity with trade reporting systems, compliance programs.
• Strong research skills; analytical and problem solving skills; and attention to detail.
• Excellent organizational skills and ability to manage multiple tasks.
• Strong knowledge of regulations and Compliance requirements.
• Self-motivated and ability to effectively multi-task.
• Effective decision-making abilities.
• Ability to identify, develop and recommend “best practices.”
• Ability to manage in a dynamic, fast-paced environment.
• Excellent verbal and written communication skills.
• Ability to develop and maintain positive and effective partnerships with colleagues and internal customers.
• Exceptional project management skills.
Interfacing with:• Compliance Management
• Internal/External Audit
• Regulatory Bodies
• Marketing, Sales and Systems Trading teams
• Product launch teams and other business units
• Senior Managers and Executives
Please submit all resumes in confidence to Kyle Marszalek at **********@peakaudit.com.
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