Senior SBSD Compliance Leader: Regulatory Oversight

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

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.