Compliance Advisory Consultant; Swap Dealer​/Broker Dealer

Our client, a top-tier management consulting firm, has partnered with a leading Financial Services provider and is seeking an experienced
Compliance Advisory Consultant
to support its
Global Markets Regulatory Compliance Advisory
team. The ideal candidate will provide real-time advisory to business partners on structuring transactions within the context of
Swap Dealers and Security-Based Swap Dealers
. This role requires deep understanding of U.S. regulatory frameworks, including
CFTC
,
SEC
,
NFA
, and related swap dealer regulations, along with the ability to translate complex compliance requirements into practical business guidance.

• Supporting the ongoing development, implementation and refinement of a comprehensive compliance program.
• Maintaining policies and procedures to reasonably ensure compliance with applicable regulatory requirements.
• Developing materials on new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance.
• Designing, implementing and maintaining Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk.
• Providing advice on relevant regulations and internal policies and procedures to internal stakeholders.
• Research regulations, guidelines, and subject matter expertise to review new products and activities to ensure compliance issues are identified and remediated.
• 8+ years prior compliance advisory experience, including interaction with US regulators.
• Experience in managing a small team of compliance officers.
• In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC and NFA rules and regulations applicable to swap dealers.
• Knowledge of Capital Markets swap products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and deliver channel needs.
• Judgement in handling complex and highly confidential matters with unquestionable character, integrity and professionalism.
• Capability to drive consensus and, where appropriate, to take a firm position even in the absence of broad-based support.
• Analytical knowledge of complex products, issues and people and the mix of those, and the operational, financial, systemic and risk management processes around such products and offerings.
• A mastery of applicable CFTC and NFA rules and regulations; exceptional reasoning and analysis skills; attention to detail; strong oral and written skills, resourcefulness, among other abilities.
• Working knowledge of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities.