High-end consulting firm located in Midtown Manhattan looking to bring on board a “Swap Dealer Compliance Senior Manager/Director” to join their team. This role is currently in a hybrid schedule (4 days in office / week).

Responsibilities:

• Support our client’s CCO’s and senior management in administering and overseeing the Swap Dealer Compliance Programs, including swap dealer and Securities based swap dealer programs.

• Assist the clients in the preparation of Annual Reporting

• Advise on and implement enhancements to the Swap Dealer Compliance Program, including developing policies and procedures

• Address regulatory inquiries, audits, examinations, and investigations while maintaining a relationship with regulators (CFTC & NFA)

• Manage conflicts of interest and other compliance matters related to the implementation of the compliance program

• Inform internal stakeholders about regulatory updates and participate in advocacy and industry discussions concerning swap dealer matters

• Advise the business on regulatory requirements, developments, and expectations across swap dealer regimes, including swap data reporting, business conduct, margin, and other areas

• Serve as an escalation point for remediating potential noncompliance issues

• Conduct periodic assessments on the effectiveness of policies, procedures, and controls implemented pursuant to relevant CFTC and NFA swap dealer rules

• Develop monitoring and testing strategies to review and challenge control implementations, collaborating with business teams and Internal Audit on ongoing reviews

• Create training programs for Associated Persons of the swap dealer, educating them on their obligations and expected behaviors

• Advise Sales and Trading, and Operations teams on CFTC swap regulations involving Commodities, Foreign Exchange, and Interest Rate derivatives

• Perform root cause analysis, applicability, and control reviews for risk assessments, and maintain written policies and procedures