Chief Compliance Officer — CFTC Swap Dealer and SEC Security-Based Swap Dealer

Responsibilities

• Design, implement, and continuously improve the SD and SBSD compliance programs.
• Maintain and enhance the compliance program in line with CFTC and SEC regulations.
• Support the CCO in developing annual compliance plans and managing policies.
• Oversee trade reporting controls and manage exception reports and reconciliations.
• Support adherence to business conduct standards and eligibility requirements.
• Partner with Risk to maintain the SD risk management program and enhance surveillance.
• Design and execute risk-based compliance testing and monitoring.
• Serve as a point of contact for regulatory examinations and inquiries.
• Oversee compliance with books-and-records requirements and system-of-record documentation.
• Provide advisory support and targeted training to various teams on SD/SBSD rules.

Qualifications

• Bachelor's degree is required, advanced degree or recognized compliance credential is preferred.
• Minimum 10 years of experience in derivatives or securities compliance at a relevant institution.
• In-depth knowledge of CFTC SD and SEC SBSD rules, including guidance and NFA rules.
• Demonstrated experience with governance, CCO reporting, and regulatory exam management.
• Hands-on experience with SDR/SBSDR reporting workflows and data quality controls.
• Strong understanding of business conduct standards, suitability, and recordkeeping.
• Experience with risk management program requirements and trade surveillance.
• Proficiency in data analysis and control documentation, with knowledge of relevant tools.
• Excellent communication skills and the ability to explain complex regulations.
• High integrity, sound judgment, and a collaborative approach with strong ownership.