Principal Swap Dealer Compliance Advisor
Core
Advise Commercial Banking Sales & Trading and Corporate Treasury Derivatives Desk on CFTC and NFA swap regulations and futures exchange rules while managing operational processes for the Swap Dealer Compliance team.
Role type
Senior IC compliance advisor (swap dealer)
Builds
Operational compliance processes, risk assessments, and regulatory reports for a registered Swap Dealer
Domain
Financial services / Commodities and Derivatives (Energy, Metals, FX, Interest Rates)
Required skills
Regulatory interpretation, root cause analysis, risk assessment, policy development, audit coordination, training delivery, industry advocacy, stakeholder management
Preferred skills
Juris Doctor, OTC swaps and futures product knowledge, AI/tech workflow optimization, limited supervision autonomy
Technologies
CFTC/NFA regulatory frameworks, Dodd-Frank Act Title VII, OTC swaps (IRS, FX, Commodities), futures contracts
Responsibilities
Administer Swap Dealer Compliance program, advise on CFTC/DCM rules, perform risk assessments, maintain policies, contribute to internal reports, liaise with Legal/Compliance Assurance, represent Capital One in industry groups, assist with audits/inquiries, conduct ongoing risk assessments
Seniority
Senior, hands-on IC