Compliance Analyst

Impact:

In this role, your day involves overseeing the Swap Dealer Compliance Program, ensuring adherence to CFTC, NFA, and SEC regulations. You'll conduct reviews for the Surveillance Program, advise on compliance enhancements, and respond to regulatory inquiries. Managing non-compliance incidents and reporting to the Chief Compliance Officer are key tasks. You’ll also assist with the annual NFA Questionnaire and develop testing for internal controls. Strong communication skills are essential as you interact with senior stakeholders and guide colleagues on compliance matters.

Qualifications:

• Bachelor’s degree or equivalent experience required
• Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or consulting firm, or a combination thereof desirable
• Experience within the OTC, listed derivatives and swaps businesses and their associated surveillance programs is an advantage
• Expertise of CFTC, NFA and/or SEC Swap Dealer regulations
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Experience in assisting regulatory exams and relationships with examiners, auditors, and other external partners is desirable
• Awareness of regulatory requirements including local and US laws, international and industry standards
• Strong working knowledge of Swap Dealers and the related operations and financial requirements a plus
• Strong writing skills and, ideally, experience writing and implementing policies and procedures, management information and reports
• Effective communicator with senior stakeholders both verbally and written, with strong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and impact of regulatory compliance
• Genuine interest in Digital Assets and regulatory framework

Responsibilities:

• Support the team in overseeing the firm’s Swap Dealer Compliance Program
• Conduct first-line review for the Swap Dealer Surveillance Program
• Advise and implement enhancements to the overall Swap Dealer Compliance Program
• Assist in responding to regulatory inquiries, audits, examinations and investigations, and liaison with the CFTC and NFA
• Manage and report on any incidents of non compliance, maintaining a non compliance issue log and monitor remediation of open items, reporting to the CCO on a regular basis
• Provide reporting to management and Compliance Committee. Escalate reporting when relevant
• Assist with completion of the annual NFA Questionnaire and CCO report
• Assist in developing and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirements

The base pay for this role is expected to be between $94,000 - $127,000 in the New York City and San Francisco Bay Area. This expected base pay range is based on information at the time this post was generated. This role will also be eligible for other forms of compensation such as a performance linked bonus, equity, and a competitive benefits package. Actual compensation for a successful candidate will be determined based on a number of factors such as location, skillset, experience, qualifications and the level at which the candidate is hired.