Chief Compliance Officer Swap Dealer

A Chief Compliance Officer opportunity supporting a CFTC-registered Swap Dealer and SEC-registered Security-Based Swap Dealer. This highly cross-functional role partners closely with Legal, Risk, Operations, Technology, Front Office, and Internal Audit to maintain a strong, well-documented compliance framework across both entities.

The position focuses on overseeing and enhancing the SD and SBSD compliance programs in line with CFTC and SEC requirements, including governance, policies and procedures, regulatory change management, and compliance training. You would support senior management and board reporting, lead risk-based testing and monitoring, strengthen trade and communications surveillance, and manage regulatory exams and inquiries.

Additional responsibilities include overseeing swap and security-based swap reporting, maintaining books and records requirements, supporting risk management frameworks, tracking issues and remediation, managing third-party and trading venue oversight, and providing day-to-day regulatory advisory to the business. This is a highly visible role for someone with deep experience across swap dealer regulatory requirements, business conduct standards, and compliance program management.

• Lead and enhance SD/SBSD compliance programs in line with CFTC and SEC requirements, including governance, policies, regulatory change management, and compliance training.
• Oversee swap and security-based swap reporting, business conduct standards, books and records, and third-party/trading venue controls, partnering closely with Technology and Operations to ensure data quality and regulatory accuracy.
• Manage risk-based testing, monitoring, surveillance, and issue remediation, working with Risk, Operational Risk, and Internal Audit to maintain strong control frameworks.
• Serve as primary contact for regulatory exams and inquiries, support board and senior management reporting, and provide day-to-day regulatory advisory to Front Office and stakeholders.