Senior Swap Dealer Compliance Advisor

Capital One; New York (NY); Hybrid; USD 132,000 - 151,000; Full time

Job summary

Capital One is seeking a Principal Swap Dealer Compliance Advisor in New York, NY. This role advises Sales & Trading, Corporate Treasury Derivatives Desk and Operations on CFTC/NFA rules, administers the Swap Dealer Compliance program, and supports regulatory reporting.

The position requires 3+ years in swap compliance with strong communication and stakeholder management. Salary ranges for New York are provided; Capital One offers a comprehensive benefits package and a hybrid work arrangement.

Qualifications

• Bachelor’s degree or Military experience.
• At least 3 years of experience in swap dealer, compliance, legal, risk management, or audit within financial services.
• At least 3 years of experience translating regulatory requirements into operational processes and business solutions.
• Juris doctor.
• 4+ years of Compliance, Audit, regulatory or line of business risk.

Responsibilities

• Assisting the SD CCO in administering a Swap Dealer Compliance program.
• Advising Sales and Trading and related Operations teams on CFTC swap regulations and DCM rules.
• Performing root cause analysis, applicability and control reviews and risk assessments.
• Helping maintain written policies and procedures of swaps and exchange-traded futures.
• Contributing to internal reports and management committees.
• Working with Legal and outside counsel on regulatory changes.
• Coordinating compliance testing with the Surveillance Team.
• Assisting with audits and regulatory inquiries.

Skills

Regulatory compliance

Risk assessment

Stakeholder management

Communication

Education

Bachelor’s degree or Military experience

Juris doctor

Job description

Capital One is seeking a Principal Swap Dealer Compliance Advisor in New York, NY. This role advises Sales & Trading, Corporate Treasury Derivatives Desk and Operations on CFTC/NFA rules, administers the Swap Dealer Compliance program, and supports regulatory reporting.

The position requires 3+ years in swap compliance with strong communication and stakeholder management. Salary ranges for New York are provided; Capital One offers a comprehensive benefits package and a hybrid work arrangement.