Swap Dealer Compliance Senior SME - New York NY In-office 3 days a week
Swap Dealer Compliance Senior SME - New York NY In-office 3 days a week
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Job Description
Job Title: Swap Dealer Compliance Senior SME
Location: New York NY(Hybrid(3 days/week))
Duration: 6 Months
Interview: WebEx
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 securitybased 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 noncompliance 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 riskbased capital program margin etc.
- Assist the Regulatory Affairs Team in responding to swap dealerrelated 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 clientrelated matters with respect to swapsrelated internal policies/procedures and rules/regulations.
- Assist with preparing presentations for the firms various swap dealer governance forums including the biweekly Compliance swap dealer meetings board presentations etc.
- Assist with preparing the annual CFTC Swap Dealer and SEC SecurityBased Swap Dealer Chief Compliance Officer Reports.
Qualifications:
- Highly motivated strong attention to detail team oriented organized.
- Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging.
- Ability to assess complex issues through root cause analysis and other analytical techniques structure potential solutions and drive to resolution with senior stakeholders.
- Comfortable acting as an agent for positive change with agility and flexibility to take on new challenges.
- Ability to develop and manage relationships to foster safe business change aligned to regulatory expectations.
- Knowledge of swaps and securitybased swaps products and markets.
- Knowledge of SEC SecurityBased Swap Dealer or CFTC Swap Dealer laws and regulations.
Education/Experience:
- Bachelors degree
- Experience in compliance legal or other controlrelated function in the financial services firm regulatory organization or legal/consulting firm or a combination thereof.
- Experience and current knowledge of product/function products and services including interpretation and application of all related laws regulations and directives.
- 12 years of experience
Employment Type
Full Time
