Role and Responsibilities

📍Coordinate and manage swap dealer application process including interactions with external advisory firm(s) in development or regulatory policies, procedures, controls and processes. 📍Advise on, and implement Swap Dealer Compliance Program requirements, including policies and procedures, training, issues management, risk assessments, governance and management reporting, metrics and assisting in the remediation of non-compliance matters. 📍Coordinate with Global/US Legal and Compliance teams to ensure: swap dealer integration with B2C2’s global compliance program; achieving highest level of ethical and professional expectations in line with B2C2’s core values. 📍Work closely with internal stakeholders (business and corporate functions including Client Onboarding/KYC, Operations, Risk, Sales, Trading, Finance, IT, etc.) on CFTC, NFA and potentially 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, risk-based capital program, margin, marketing materials, recordkeeping etc. 📍Assist the Compliance, Regulatory and Legal Teams in responding to swap dealer-related regulatory inquiries, audits, examinations, etc., including driving associated responses with relevant stakeholders. 📍Act as a point of contact for compliance matters inside and outside the organization; liaise with regulators (e.g., CFTC & NFA) as required; communicate with clients throughout client relationships. 📍Assist in managing conflicts of interest and other issues that may arise in running the Swap Dealer Compliance Program. 📍Oversee NFA membership expectations, including associated person requirements and NFA examinations. 📍Coordinate with B2C2’s Trade/Communications Surveillance, Transaction Monitoring/AML teams in relation to market conduct and trading expectations. 📍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. 📍Perform regulatory horizon scanning in relation to swaps/derivatives markets and advise on ongoing developments to regulatory landscape in commodities and securities based derivatives, particularly in relation to interrelationship with crypto assets. 📍Provide advice to B2C2 businesses/management on new function/business/product initiatives and client-related matters with respect to derivatives-related internal policies/procedures, rules/regulations and regulatory expectations. 📍Assist with preparing presentations for B2C2’s various swap dealer and global governance forums including periodic Legal, Compliance and swap dealer specific meetings, as well as board presentations, etc. 📍Preparation of the annual CFTC Swap Dealer Chief Compliance Officer Reports.

Qualifications and Education Requirements

📍Bachelor’s (BA/BS) degree required. 📍Minimum 7+ years’ experience in relevant experience in a CFTC/NFA based regulatory compliance/legal role (compatibility with a fintech or cryptoasset trading firm is a plus). 📍Demonstrated Knowledge of CFTC/NFA swap dealer requirements, laws and regulations. 📍Knowledge of swaps products and markets. 📍Knowledge/fluency in cryptocurrency and blockchain industry concepts is a plus. 📍Experience building and developing compliance programs and policies in a fast-moving growth company environment. 📍Ability to effectively manage multiple priorities and learn new tools quickly. 📍Ability to make independent decisions as well as collaborate effectively with a team. 📍Willingness to work across different time zones with global and regional teams. 📍Strong interpersonal skills: Effective communicator both written and verbal. 📍Ability to face-off to management team, Front Office, Onboarding/KYC, Operations, Risk, Sales, Trading, Finance, IT, Audit. 📍Very well-organized and good at multi-tasking. Track-record of keeping good composure in a fast-paced, high-pressure environment. Energetic / self-starter. Ability to take direction and act quickly.

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