About the Role
You will own and maintain CFTC compliance programs for swap dealer and CPO/CTA activities. You will advise on sales and trading activity, evaluate new products and business initiatives for compliance risks, create and maintain policies and procedures, administer training, perform e-communications surveillance and compliance testing, manage regulatory examinations and inquiries, develop supervisory procedures to address conflicts of interest, and collaborate with Legal, Finance, Risk, Operations, and IT. You will also adopt AI tools to improve productivity and decision making.
Requirements
- Minimum of 5 years of legal or compliance experience
- Experience with OTC derivatives and swap dealer regulatory requirements
- Demonstrated implementation and execution of swap dealer compliance programs at a registered swap dealer
- JD or MBA degree
Responsibilities
- Manage CFTC compliance programs for swap dealer and CPO/CTA activities
- Advise on sales and trading activity across jurisdictions and branch offices
- Evaluate new products programs services and business initiatives for compliance risks
- Create and maintain policies and procedures
- Administer compliance training
- Perform e-communications surveillance
- Perform compliance testing
- Manage relationships with regulators and respond to examinations and inquiries
- Participate in governance activities
- Prepare CFTC and CPO/CTA filings and reports
- Develop supervisory procedures to manage conflicts of interest
- Collaborate with Legal Finance Risk Operations and IT on compliance matters
- Leverage AI tools to improve productivity and decision making
Benefits
- Hybrid Flexible Working Arrangements
- Flexible Time Off paid
- 3% 401(k) company contribution
- Company paid health and protective benefits for employees partners and dependents
- Generous paid Parental Leave
- Competitive family planning benefits for US employees
- Free daily snacks and weekly breakfasts and lunches
- Employee Resource Groups
- Free coaching and counseling sessions through Headspace