What are the responsibilities and job description for the Senior Swap Dealer Compliance Officer position at RIT Solutions, Inc.?
Job Description : Serves as key function / business / product compliance advisor for the Compliance Department responsible for establishing internal strategies, policies, procedures, processes, and programs to comply with U.S. swaps and security-based swaps rules and regulation.
Responsibilities :
- Advise and implement enhancements to the overall Jefferies U.S. Swap Dealer Compliance Program, including policies and procedures, training, issues management, governance and management reporting, metrics and assisting in the remediation of non-compliance matters.
- Work closely with internal stakeholders (business and corporate functions including Operations, Risk, Finance, etc.) on CFTC, NFA and SEC swap dealer issues.
- Advise the business and corporate functions on regulatory requirements, developments and expectations across the swap dealer regimes including business conduct requirements, swap data reporting, business conduct, risk-based capital program, margin, etc.
- Assist the Regulatory Affairs Team in responding to swap dealer-related regulatory inquiries, audits, examinations, and investigations, and liaising with regulators (SEC, CFTC & NFA) including driving associated remediations with relevant stakeholders.
- Assist in managing conflicts of interest and other issues that may arise in running the Swap Dealer Compliance Program
- Assist Compliance Testing in developing monitoring and testing to review and challenge controls and implementation of obligations with Compliance and business teams, and work with Audit on their ongoing reviews.
- Provide advice to the businesses on an ongoing basis on new function / business / product initiatives, new products, business acquisitions, and client-related matters with respect to swaps-related internal policies / procedures and rules / regulations.
- Assist with preparing presentations for the firm's various swap dealer governance forums including the bi-weekly Compliance swap dealer meetings, board presentations, etc.
- Assist with preparing the annual CFTC Swap Dealer and SEC Security-Based Swap Dealer Chief Compliance Officer Reports.
Qualifications :
Education / Experience :
