Director- Senior Compliance Officer- US Swap Dealer

Broker Dealer located in Midtown Manhattan looking to bring on a new "Director -Senior Compliance Officer- US Swap Dealer" to join their team.

Responsibilities:

• Provide guidance and support to the Front, Middle and Back Offices in the interpretation of CFTC/NFA and SEC/FINRA regulations applicable to Swap Dealers (SDs) and Security-Based Swap Dealers, respectively

• Assist in the development, implementation, and evaluation of SD and SBSD compliance systems, policies, procedures.

• Assist in implementing OTC Derivatives compliance programs to ensure that the required supervisory structure is in place, which addresses regulatory requirements, industry best practices, and is in line with OTC Derivatives business

• Participate in regulatory examinations, and first day letter responses, as well as communications with internal audit teams

• Assist in implementing and adapting a risk assessment framework, including monitoring and testing plans

• Update written policies and procedures, incorporate ongoing review for necessary changes

• Administer and support the registration process and continuing education for new and existing employees

• Responsible for trade surveillance and certain communications monitoring.

• Assist with the preparation of the CCO Annual Compliance Report and the assessment of effectiveness of the OTC Derivatives Program

• Assess and actively address Dodd Frank impact on existing and future business

• Assist with coordination and delivery of required compliance training and annual attestations for new and existing employees that trade in OTC Derivatives

• Maintain current knowledge of applicable laws and regulations, and track regulatory changes