Chief Compliance Officer, Swap Dealer
Core
Lead compliance operations for a registered U.S. Swap Dealer in the digital asset space, ensuring adherence to CFTC, NFA, and Dodd-Frank regulations.
Role type
Senior IC Chief Compliance Officer (Swap Dealer)
Builds
A robust swap dealer compliance program including policies, procedures, training, and risk assessments for a digital asset trading platform.
Domain
Financial Services / Digital Assets / Derivatives
Required skills
Swap dealer compliance program implementation, Dodd-Frank Act knowledge, CFTC/NFA/FRB regulatory interaction, OTC derivatives expertise, conflict of interest management, regulatory reporting, team leadership across regions
Preferred skills
Experience in investment/commercial banking, law firm, or consulting; familiarity with FX and interest rate derivatives
Technologies
N/A
Responsibilities
Advise on and implement enhancements to the Swap Dealer Compliance Program; respond to regulatory inquiries, audits, and investigations; manage non-compliance incidents and remediation; resolve conflicts of interest; provide reporting to management and the Board; conduct periodic testing of internal controls; develop and deliver compliance training to all personnel
Seniority
Senior, hands-on IC
