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Head of Swaps Dealer Compliance

  • Job type: Permanent
  • Location: United States - New York
  • Salary: 200,000.00 - 300,000.00 USD per Annum
  • Job reference: 86140
  • Sector: Compliance
  • Date posted: 11/01/2017
Tier 1 International Bank is building out their compliance function within their Swaps team. Their securities are is growing massively risk now and they need a strong compliance leader to lead them to continued success. 

You will provide compliance support, advice, and guidance to the global businesses with a focus on securities-based swap dealer related compliance. Help foster a positive culture of compliance by working proactively with the business, and other compliance professionals to ensure that best practices and systems are in place to facilitate the growth of the derivatives, swaps and trading businesses and the overall success of their securities arm. 


  • Be the face of the Swaps Compliance program for numerous forums and work streams throughout the organisation
  • Take ownership of the policies and procedures
  • Developing and implement training material for the firm
  • Developing exception reporting and management information;
  • Face off against regulators
  • Liaise with C-level management
Required knowledge and experience
  • Minimum of ten years compliance and/or regulatory experience, or equivalent.
  • Extensive knowledge of derivatives markets and regulation.
  • Bachelor’s degree; Juris Doctor a plus.
  • Ability to work independently with minimal direction and as part of a team.
  • Experience leading a team
  • Knowledge of products, services, operations and systems in capital markets.
  • Minimum of five years of supervisory/management experience.
  • Regulatory experience with swaps and derivatives and DFA rule intake and implementation.
  • Licenses or registrations relevant to the products supported are preferred (e.g. Series 3, 7, 9, 10, 24, 63 and 55). 
If you are interested in learning more about this position please apply in with an update resume / CV in a Word format.
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