Chief Compliance Officer — CFTC Swap Dealer and SEC Security-Based Swap Dealer

Job Description We are looking for an experienced professional to oversee and enhance our compliance programs, ensuring adherence to regulatory requirements. The ideal candidate will have a proven track record in derivatives and securities compliance, with a deep understanding of CFTC and SEC rules. This role is critical to maintaining our firm's integrity and reputation. Responsibilities Design, implement, and continuously improve the SD and SBSD compliance programs. Maintain and enhance the compliance program in line with CFTC and SEC regulations. Support the CCO in developing annual compliance plans and managing policies. Oversee trade reporting controls and manage exception reports and reconciliations. Support adherence to business conduct standards and eligibility requirements. Partner with Risk to maintain the SD risk management program and enhance surveillance. Design and execute risk-based compliance testing and monitoring. Serve as a point of contact for regulatory examinations and inquiries. Oversee compliance with books-and-records requirements and system-of-record documentation. Provide advisory support and targeted training to various teams on SD/SBSD rules. Qualifications Bachelor's degree is required; an advanced degree or recognized compliance credential is preferred. Minimum 10 years of experience in derivatives or securities compliance at a relevant institution. In-depth knowledge of CFTC SD and SEC SBSD rules, including guidance and NFA rules. Demonstrated experience with governance, CCO reporting, and regulatory exam management. Hands-on experience with SDR/SBSDR reporting workflows and data quality controls. Strong understanding of business conduct standards, suitability, and recordkeeping. Experience with risk management program requirements and trade surveillance. Proficiency in data analysis and control documentation, with knowledge of relevant tools. Excellent communication skills and the ability to explain complex regulations. High integrity, sound judgment, and a collaborative approach with strong ownership. #J-18808-Ljbffr Cantor Fitzgerald