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Swap Dealer Compliance

Location : Uptown - Charlotte, NC
Job Type : Direct
Reference Code : JR-Swap Dealer Compliance
Hours : Full Time
Required Years of Experience : 10+
Travel : No
Relocation : No
Industry : Banking - Financial Services

Job Description :


Position type:  Full Time Salaried 

Salary range:  $110k - $205k base (30% bonus)


Corporate Risk helps all the bank’s lines of business identify and manage risk.  The line of business focuses on three key risk areas: credit risk, operational risk and market risk.  We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.


Rates/Swap Dealer Compliance provides Regulatory and Compliance support for the Rates business and the Swap Dealer, with particular focus on CFTC regulations and rules.


Specific responsibilities for this group include providing expert advice regarding applicable regulations, overseeing and updating relevant policies and procedures, monitoring front office activities and regulatory developments that impact the Swap Dealer lines of business (“SD LOBs”), as well as develop and perform Compliance training.


Primary Duties and Responsibilities:

  • Contribute to regulatory oversight of the Rates business, including the development and maintenance of policies and procedures, as well as conducting surveillance and monitoring routines to validate compliance with regulatory requirements

  • Prepare and present training materials to meet regulatory and firm requirements

  • Assist in planning and preparation for exams and audits prepare and gather documents to respond to regulatory inquiries for the Rates business and the Swap Dealer

  • Assist with the review and documentation of Corporate Compliance requirements, and draft Trigger Management System entries and SHRP items

  • Contribute to required regulatory reporting to meet specific CFTC and NFA requirements

  • Liaise with Corporate Compliance to ensure adherence with required standards

  • Participate in and manage special projects

  • Liaise with various support partners to provide advice and guidance to the Swap Dealer


Required Qualifications :

Required Qualifications:

  • 10+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk),

  • or a combination of both or 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both


Desired Qualifications:

  • Advanced Microsoft Office skills

  • Excellent verbal, written, and interpersonal communication skills

  • Strong analytical skills with high attention to detail and accuracy

  • Ability to interact with all levels of an organization


Other Desired Qualifications:

  • J.D. or similar advanced degree

  • Candidate must have a minimum of six years of experience at a financial institution focusing on the Rates business line and CFTC regulatory and compliance matters

  • Experience interacting with senior front office personnel regarding complex regulatory matters

  • Experience interacting with regulators




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