This position will primarily report to the Chief Compliance Officer of swap execution facility. The SEF Compliance Officer is responsible for assisting the SEF CCO to ensure compliance with the CEA and CFTC SEF related regulations. The position also involves acting in a supervisory role for activity and persons engaged in broker-dealer activity.
- Provide interpretative guidance on SEF rulebook and compliance manual to participants and the business in consultation with CCO
- Maintain, review and periodically update rulebook and compliance manual in consultation with CCO
- Liaison with regulatory service provider
- Review daily exemption reports and respond to alerts from regulatory service provider
- Assist with investigations and disciplinary actions
- Remediate non-compliance issues including writing or rewriting procedures, new testing protocols and closing of non-compliance issues
- Review and approve SEF participants through compliance enablement tool
- Review and approve as necessary system initiatives and enhancement related any SEF and FIT functionality
- Establish and implement operation and supervisory procedures for brokerage activities and registered representatives
- Periodically conduct compliance training
- Bachelor's degree required
- 3+ years in OTC derivative operations
- 3+ years experience in broker-dealer reporting/compliance for bond/derivatives
- Series 7 and 24 a plus
- Dodd-Frank, CFTC, SEC, FINRA and NFA rules and regulation famliarity
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