Senior Manager, Security-Based Swap Dealer Compliance

Macquarie Global Services; New York, Cary (NY, NC); On-site; USD 173,000 - 205,000; Full time

Job summary

An established industry player is seeking a Senior Regulatory Lawyer or Compliance Professional to support its Chief Compliance Officer. This role is pivotal in ensuring adherence to CFTC, SEC, and NFA regulations while enhancing the compliance program. With a strong emphasis on derivatives regulation, the successful candidate will interact with regulators and internal stakeholders, providing expert guidance and oversight. Join a friendly and supportive team that values diverse perspectives and empowers its members to shape possibilities in a dynamic financial landscape.

Qualifications

• 8-11 years of experience in financial services focusing on derivatives compliance.
• In-depth knowledge of CFTC, SEC, and NFA rules related to swap activities.

Responsibilities

• Provide expert guidance on CFTC, SEC, and NFA regulations affecting swap activities.
• Oversee policies, procedures, and enhance the compliance program.

Skills

Regulatory Compliance

Derivatives Regulation

Analytical Skills

Communication Skills

Project Management

Education

J.D. or Advanced Law Degree

Job description

Join Macquarie's Risk Management Group as a Senior Regulatory Lawyer or Compliance Professional

Support the Chief Compliance Officer of our Swap Dealer and Security-Based Swap Dealer by contributing to the development, implementation, and oversight of the firm's compliance program. Ensure adherence to CFTC, SEC, and NFA regulations, including Dodd-Frank Title VII, leveraging your derivatives regulation expertise and experience in managing compliance programs to interface effectively with regulators and internal stakeholders.

While many roles at Macquarie offer hybrid working, this role requires four days a week in our New York office.

About Macquarie

At Macquarie, our advantage is bringing together diverse people and empowering them to shape possibilities. We operate in 34 markets with 55 years of profitability. Join a friendly, supportive team where everyone contributes ideas and drives outcomes.

What role will you play?

1. Provide expert guidance on CFTC, SEC, and NFA regulations affecting swap and SBSD activities.
2. Support the Chief Compliance Officer in regulatory obligations.
3. Oversee policies, procedures, and reporting; monitor regulatory developments; enhance the compliance program.
4. Maintain and update the swap dealer and SBSD compliance program, conduct risk assessments, support regulatory filings.
5. Assist in regulatory interactions, audits, and examinations; prepare responses to inquiries; collaborate with internal stakeholders to ensure compliance.

The compensation range for this role is $173,000 - $205,000 annually, with potential for discretionary incentive compensation based on experience, performance, and other factors.

What you offer

• J.D. or advanced law degree preferred; 8-11 years of experience in financial services, focusing on derivatives compliance, swap dealer regulation, or securities law.
• In-depth knowledge of CFTC, SEC, and NFA rules, especially related to swap and SBSD activities.
• Strong understanding of trade execution, margin, recordkeeping, reporting, and business conduct standards.
• Proven ability to interact with regulators, auditors, and senior management.
• Excellent analytical, communication, and project management skills.

About the Risk Management Group

This group functions independently to review, challenge, oversee, monitor, and report on Macquarie's material risks. It includes divisions such as compliance, credit, financial crime risk, internal audit, market risk, operational risk, and prudential risk.

Our commitment to diversity, equity, and inclusion

We strive to provide an inclusive environment that embraces diversity. Macquarie offers equal opportunities regardless of race, color, religion, sex, sexual orientation, national origin, age, disability, veteran status, genetic information, marital status, or gender identity. We also provide reasonable accommodations during recruitment and employment. Please inform us during the application process if you need support.