Chief Compliance Officer - CFTC Swap Dealer and SEC Security- Swap Dealer

Chief Compliance Officer — CFTC Swap Dealer and SEC Security-Based Swap Dealer

Location: New York

Department: Compliance

Reports to: Chief Compliance Officer (CCO)

We are seeking a Chief Compliance Officer to run the compliance programs of our CFTC-registered Swap Dealer (SD) and SEC-registered Security-Based Swap Dealer (SBSD). The ideal candidate will bring at least 10 years of relevant experience and a deep understanding of swap dealer and security-based swap dealer regulatory frameworks, including governance, reporting, business conduct standards, and risk management program requirements. This role is highly cross-functional and will partner with Legal, Risk, Operations, Technology, Front Office, and Internal Audit to sustain a robust, well-documented, and tested compliance management system across the SD and SBSD entities.

The Compliance Officer will support and enhance the design, execution, monitoring, and continuous improvement of the firm’s SD and SBSD compliance programs. Core responsibilities include:

• Governance and Program Management. Maintain and enhance the compliance program consistent with Commodity Exchange Act and CFTC Part 23 requirements for SDs, and Exchange Act Section 15F and related SEC rules for SBSDs. Support the CCO in developing the annual compliance plan, maintaining policies and procedures, and overseeing governance forums, charters, and issue management routines. Coordinate program documentation, regulatory mapping, interpretations, and implementation of new and amended rules.
  
  Facilitate compliance training across first and second lines.
• CCO Reporting and Board/Senior Management Engagement. Preparing the CFTC Rule 3.3 annual report for the SD and the SEC Rule 15
  
  Fk-1 annual report for the SBSD, including testing results, exceptions, and remediation tracking. Coordinate management certifications, board presentations, and attestations, ensuring timely escalation and governance of material compliance matters.
• Swap and Security-Based Swap Reporting. Oversee and perform first- and second-line controls for trade reporting under CFTC Parts 43, 45, and 46, and SEC Regulation SBSR, including UTI/USI/USI-LEI data integrity, lifecycle event reporting, allocations, and corrections. Manage exception reports, backloading/verification, repository reconciliations, late/erroneous submission reviews, and remediation. Liaise with SDR/SBSDR, Middleware/SEF, and internal Technology on data quality initiatives and regulatory change.
• Business Conduct and Documentation. Support adherence to external business conduct standards, eligibility and KYC diligence, scenario-specific disclosures, daily mark/fair value and scenario analysis, suitability, and recordkeeping rules. Coordinate oversight of relationship documentation, representations, safe harbors, and consent mechanics. Support oversight of clearing, margin, segregation, and collateral requirements applicable to SD and SBSD activities.
• Risk Management and Surveillance. Partner with the Risk function to maintain the SD risk management program under CFTC Rule 23.600 and analogous SBSD requirements, including independent testing, model/limit governance, and periodic reviews. Enhance trade surveillance, communications surveillance, and fair dealing controls, including calibration and documentation of alerts and escalations.
• Testing, Monitoring, and Issue Management. Design and execute risk-based compliance testing and ongoing monitoring for SD/SBSD requirements, including trade reporting, business conduct, daily trading records, recordkeeping, and sales/trading practices. Track findings, corrective actions, and target dates; validate remediation; maintain control inventories and RCSAs in coordination with Operational Risk and Internal Audit.
• Regulatory Exams, Inquiries, and Policy Change. Serve as a point of contact for Swap Dealer regulatory examinations and inquiries by the CFTC, NFA, SEC, and, as applicable, FINRA or other SROs. Support timely, accurate responses; coordinate data and document productions; and maintain exam work papers, responses, and remediation evidence. Monitor regulatory developments,…