Qualifications:

📍A minimum of 10+ years of legal or compliance experience/background preferably with investment or commercial bank, law firm, consulting firm or regulatory organization. 📍Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer. 📍Demonstrated understanding of the requirements of the Dodd-Frank Act and associated regulations relating to swap dealers, including applicable CFTC, NFA and FRB rules and regulations. 📍Experience interacting with regulators, in particular, CFTC, NFA, and FRB. 📍Experience reporting to senior management. 📍Experience managing teams across geographical regions 📍Familiarity with sales and trading of over-the-counter derivatives, with particular focus on foreign exchange and interest rate derivatives. 📍Outstanding written (drafting & editing) and spoken communication abilities. 📍Excellent teamwork, interpersonal and conflict resolution skills. 📍Highly organized and capable of dealing with multiple, complex projects simultaneously

Responsibilities:

📍Advise and implement enhancements to the overall Swap Dealer Compliance Program, including oversight of policies and procedures 📍Respond to regulatory inquiries, audits, examinations and investigations, and liaison with the CFTC and NFA 📍Manage and report on any incidents of non compliance, maintaining a non compliance issue log and monitor remediation of open items, reporting to the CCO on a regular basis 📍Manage and resolve any conflicts of interest that may arise by determining reasonable steps that should be taken to resolve or mitigate the conflict of interest 📍Provide reporting to management and Board of Directors. Escalate reporting when relevant 📍Developing and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirements