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Years of Experience
Date Last Verified
Deputy Chief Compliance Officer Duties: Responsible for compliance and regulatory affairs for registered Swap Dealer. Identifies and interprets CFTC, NFA, state, federal, foreign jurisdiction, and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance. Coordinates regulatory and internal audits and assists regulators, auditors and business unit management with regulatory exams and inquiries. Provides advice to senior management. Develops, coordinates, and implements strategies enhancing regulatory compliance and reducing risk. Keeps abreast of new rules and regulations and how it affects the business activities of the firm to ensure firm policies and procedures are up to date. Responds to Regulatory and Exchange inquiries and requests. Develops policies and procedures to meet Swap Dealer requirements and implement these across the organization. Assists in developing an audit process for the annual Chief Compliance Officer report, determine what will be tested, how it will be tested, document deficiencies, and develop a plan to resolve deficiencies. Works with all levels of management to ensure that appropriate supervisory processes and controls are established and documented within the areas of responsibility. Develops, organizes and delivers consistent compliance training, and reinforces all compliance related communications. Distributes and reviews compliance related data with management on a regular basis and ensures appropriate corrective action has been taken. Escalates issues to senior management, as appropriate. Reviews, analyzes and follows-up on relevant compliance inspection and audit issues as well as compliance metric reports. Oversees management’s handling of various compliance issues and provides guidance on decision making where necessary. Reviews and clarifies compliance processes for improved effectiveness, efficiency and ease of doing business. Provides compliance support for new product and sales technique initiatives. Performs regular employee performance reviews, goals setting and ongoing employee evaluation and feedback.
Qualification and Experience
Requirements: JD Degree or MBA is a plus. 7+ years of compliance or regulatory experience. Swap Dealer experience strongly preferred. Strong knowledge of CFTC regulations and NFA rules. Broad understanding and experience within the swaps and futures industry. Proven communication, analytical, and project management skills. Strong relationship management and leadership skills are desired, including experience and ability in dealing with senior management. Ability to reach sound judgments and act quickly under tight deadlines. Experience in staff management. Experience in dealing with senior compliance and regulatory staff at the various exchanges and regulatory agencies. Must be authorized to work in the US for any employer. Must be available for travel as needed. Participant in industry, regulatory and exchange panels, organizations and committees.
Job Code: HCR#948
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