Security Based Swap Dealer Senior Compliance Officer

StoneX Group Inc.; New York (NY); On-site; USD 100,000 - 130,000; Full time

Job summary

A financial services firm in New York is seeking a Senior Compliance Officer to oversee compliance associated with security-based swaps. This role entails leading the compliance program, managing regulatory requests, and ensuring policies are in place to meet obligations. The ideal candidate has a Bachelor's degree in Finance or Business and 7 to 10+ years of experience in compliance within a relevant setting. Strong knowledge of SEC and FINRA rules is required. This is a full-time position.

Qualifications

• 7 to 10+ years of direct security-based swap dealer compliance experience.
• Prior experience at a regulator, private firm, broker dealer required.
• Expert knowledge of SEC and FINRA rules related to security-based swap dealers.

Responsibilities

• Lead oversight of the compliance program ensuring effectiveness.
• Ensure adequate policies and procedures are in place for SBSD activities.
• Administer the SBSD compliance training program.
• Serve as a lead compliance coordinator for regulatory requests.

Skills

Compliance management

Risk assessment

Regulatory knowledge

Team collaboration

Education

Bachelor’s degree in Finance or Business

Job description

Security Based Swap Dealer Senior Compliance Officer

Serve as the leader in all aspects of compliance associated with the SBSD and partner with various business units to aid in achieving their objectives post approval and implementation. Work closely with management and members of the SFI compliance team and other functional areas across the firm ensuring an appropriate compliance framework to meet the firm’s compliance and regulatory obligations.

About the Role

Responsible for identifying areas of compliance improvement, strategize solutions to improve areas as identified and work towards the end goal of ensuring compliance with applicable rules and regulations. In addition to leading the oversight of the SBSD compliance program, the Senior Compliance Officer will provide the CCO, management and the Board with periodic updates, ensure adequate policies and procedures are in place, administer the firm’s training program, coordinate and oversee regulatory exams and requests and assist with the annual CCO report.

Responsibilities

• Daily oversight of the compliance program ensuring effectiveness and timely completion of tasks
• Ensure adequate policies and procedures are in place for all SBSD activities
• Identify and resolve any conflicts of interest that may arise
• Administer the SBSD compliance training program
• Serve as a lead compliance coordinator for regulatory requests and examinations (SEC/FINRA)
• Assist Management with strategic projects and initiatives
• Collaborate with other departments (e.g., Risk Management, Internal Audit, Human Resources) to direct compliance issues to appropriate existing channels for investigation and resolution
• Consult with Corporate Counsel as needed to resolve difficult legal/compliance issues
Serve as the lead point of contact for internal inquiries from other teams and business units
• Identify potential areas of compliance vulnerability and risk; develop and/or implement corrective action plans/controls for resolution and sustained compliance in the future
• Provide compliance support for new product, sales and technical initiatives

Qualifications

• Bachelor’s degree in Finance or Business
• 7 to 10+ years of direct security-based swap dealer compliance experience
• Prior experience at a regulator, private firm, broker dealer or required
• Expert knowledge of SEC, FINRA rules related to security-based swap dealer rules, including SEC and FINRA rules governing equities

Seniority level

• Mid-Senior level

Employment type

• Full-time

Job function

• Other