Swap Dealer Compliance BA

Location: New York, NY 10022 - HYBRID

Assignment Type: Contract - 6 months + possible extensions

About the role

We are seeking a knowledgeable and organized compliance professional to support our client's Swap Dealer Compliance program and assist with the preparation of the upcoming 2026 CCO report. The ideal candidate will possess strong expertise in Swap Dealer and Security-Based Swap Dealer compliance regulations, demonstrating a proactive approach to ensuring regulatory adherence and organizational efficiency.

Responsibilities

• Support the Managing Director of the Swap Dealer Compliance program in daily activities and compliance efforts.
• Assist with the development and coordination of the 2026 CCO report, ensuring accuracy and timeliness.
• Maintain thorough knowledge of Swap Dealer and Security-Based Swap Dealer regulatory requirements.
• Monitor ongoing compliance processes, identify potential issues, and collaborate on resolution strategies.
• Ensure documentation and reporting meet regulatory standards and internal governance frameworks.
• Prepare and review compliance-related reports and supporting materials as needed.
• Stay current on legal and regulatory developments affecting Swap Dealer activities.

Required Qualifications

• Proven experience with Swap Dealer and Security-Based Swap Dealer compliance regulations.
• Highly organized with strong attention to detail.
• Proactive mindset with the ability to anticipate and address compliance issues.
• Excellent communication skills, both written and verbal.
• Ability to work independently and efficiently manage multiple tasks.
• Strong understanding of internal governance frameworks and regulatory reporting processes.

Preferred Qualifications

• Prior experience supporting senior management on compliance programs.
• Familiarity with industry best practices in regulatory reporting.
• Demonstrated ability to adapt to evolving regulatory environments.
• Proficiency with compliance monitoring tools and documentation systems.