Principal Swap Dealer Compliance Advisor
Core
Advise Commercial Banking Sales & Trading and Corporate Treasury Derivatives Desk on CFTC/NFA swap regulations and futures exchange rules while managing operational processes for a registered Swap Dealer.
Role type
Principal Swap Dealer Compliance Advisor
Builds
Operational compliance processes, regulatory reports, and risk mitigation strategies for energy, metals, FX, and interest rate derivatives.
Domain
Financial Services / Regulatory Compliance / Derivatives
Deliverable
client delivery
Required skills
Swap dealer compliance expertise, regulatory translation to operational processes, root cause analysis, policy development, risk assessment, audit coordination, industry advocacy, compliance training delivery
Preferred skills
Juris Doctor, OTC swaps and futures product depth, AI/tech workflow optimization, independent work in hybrid environments
Technologies
AI tools for compliance workflows
Responsibilities
Administer Swap Dealer Compliance program, advise on CFTC/DCM rules for commodities/FX/interest rates, perform risk assessments and control reviews, maintain written policies, contribute to management/board reports, liaise with Legal on regulatory changes, coordinate compliance testing, manage surveillance alerts, develop compliance training, represent firm in industry working groups, assist with audits/inquiries, conduct ongoing risk assessments
Seniority
Principal, hands-on IC with strategic advisory scope
