Swap Dealer Compliance Consultant
JCW Group
This is contract role (40 hours per week) looking to start ASAP and run through August 2027. NYC based individuals are preferred but the work can be conducted primarily remote.
Apply fast, check the full description by scrolling below to find out the full requirements for this role.
We are seeking an experienced Swap Dealer regulatory professional to support an FBO become registered as a Swap Dealer with the CFTC.
Responsibilities
- Support a foreign banking organization through CFTC Swap Dealer registration and the build-out of its US compliance framework
- Work alongside a client-facing advisory team on registration, policies and procedures, and the regulatory requirements that come with SD status
- Opportunity to contribute to upcoming SEC security-based swap dealer registration projects as they kick off xhyhwjd
Requirements
- 8+ years demonstrable experience supporting a CFTC Swap Dealer in a regulatory or compliance capacity.
- Hands-on experience with Swap Dealer registration is a major plus
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the Swap Dealer Compliance Consultant in New York, NY vacancy
$120.8k - $137.9k
Principal Swap Dealer Compliance Advisor The role is Principal Swap Dealer - Compliance Advisory. Capital One, National Association is a Commodity Futures Trading Commission (CFTC) registered Swap Dealer. The Advisor will advise our Commercial Banking’s Sales & Trading...SuggestedFull timeContract workPart timeLocal area- ...Responsibilities: Partner with executive leadership to shape, execute, and continuously strengthen the firm's compliance framework in alignment with applicable securities industry regulatory obligations. Provide strategic oversight of monitoring, supervisory review...SuggestedFull time
Partnership Employment
New York, NY1 day ago - ...limited partners and portfolio companies. Overview: TPG has an exciting opportunity for an Associate to join its broker-dealer Compliance team in the New York office. Responsibilities include conducting compliance oversight of the firm’s fundraising and capital...SuggestedFull timeWork at officeLocal area
TPG
New York, NY2 days ago $150k - $185k
...access to exchanges and technology-powered services. For more information visit Purpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U.S. Broker-Dealer regulation...SuggestedImmediate start$175k - $250k
...other FRM officers. The book covers a wide range of instruments (swaps, repo, collateral swap, IRS, FX swaps). Key Responsibilities... ...Work in close partnership with control functions such as Legal, Compliance, Market and Credit Risk, Audit, Finance in order to ensure appropriate...SuggestedFull time$1,000 per day
A leading consulting firm is seeking an experienced Compliance Officer to oversee regulatory governance within a U.S. broker-dealer. The role focuses on maintaining compliance across Operations, Treasury, and Finance interfaces. Key responsibilities include managing the...Contract workWork at office- ...Job Description Senior Treasury / Liquidity Management – Broker-Dealer \n New York City | Financial Services \n I’m working with a highly regarded, growing investment bank and broker-dealer that is looking to add a senior Treasury / Liquidity Management professional...Temporary work
Madison-Davis, LLC
New York, NY16 days ago - ...Broker Dealer Compliance Advisory- Equities & Options We are working with a financial services organization seeking an experienced Compliance professional for a senior advisory position supporting its markets businesses. The role will work closely with business...Full time
Dynamics Executive Search
New York, NY1 day ago - ...Job Description: Director / Principal Consultant – Broker-Dealer Clearing Strategy Location: New York Department: Capital Markets Advisory... ...: Provide strategic guidance to client Legal and Compliance teams during the drafting and submission of FINRA Continuing...Full timeNight shift
WSN
New York, NY4 days ago $151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description The Compliance Risk Manager will support Capital One's broker dealers compliance program. Compliance Risk Managers are highly motivated Risk Management professionals with excellent communication skills, strong judgment...Full timePart timeWork at officeLocal areaFlexible hoursCapital One
New York, NY5 days ago$18 - $23 per hour
...Live Dealer - 3PM-11PM Shift - Atlantic City, NJ PT Services (New Jersey) LLC is part of Playtech - the world's largest online gaming software supplier traded on the London Stock Exchange Main Market. Playtech offers cutting-edge, value-added solutions to the industry...Hourly payImmediate startShift workNight shiftPlaytech
Atlantic City, NJ4 days ago$100k - $110k
...Seeking a highly motivated, detail oriented individual to work at a growing U.S. broker-dealer subsidiary of a global financial services group based out of Spain. Job Description Accounting Responsibilities: Create and maintain accounting policies for B/D...Extra incomeWork at officeBBVA
New York, NY4 days ago- ...candidates can expect. About the Role The Director, Broker Dealer Accounting within the Finance function, will manage a team and... ...and coordinate the annual audit, exemption report, and related compliance review processes. Partner with Compliance and Operations to...Work at office
Taurus Search
New York, NY7 days ago - ...About the Role The Table Games Dealer (Part-Time-SWING SHIFT) reports to the Table Games Shift Manager and is responsible for providing proactive friendly and engaging service at assigned gaming table while protecting the security of the game. Position Responsibilities...Hourly payPart timeFlexible hoursShift workWeekend workAfternoon shift
AC Ocean Walk LLC
Longport, NJ4 days ago $60.8k - $80k
...skills.Preferred:Automotive dealership experience.Digital marketing experience.CRM knowledge.Customer-focused mindset with strong consulting skills.Additional InformationThe Power of One starts with our people! To do powerful things, we offer powerful resources. Our...Full timeTemporary workFreelanceWork at officeLocal areaWork from homeWorldwideWork visaFlexible hoursProdigious Worldwide
New York, NY1 day ago- ...This is a remote position. Dealers will perform their duties in accordance with the directives as set down in the Casino Operations... ...the rules of the game, policies and procedures. Ensures betting compliance and payments in accordance to game rules and limits. Provides...Immediate startRemote work
Jobs on a Ship
New York, NY1 day ago - ...tools such as position limits, P&L monitoring, and regulatory compliance checks Take full ownership of existing systematic trading systems... ..., and related derivatives such as Treasuries, SOFR futures, or swaps Proven end-to-end strategy development from research,...Full time
The Phoenix Group
New York, NY4 days ago - Atlas Search in New York is seeking a Legal Entity Controller to own financial reporting for U.S. GAAP entities, including broker-dealers and SPACs. You will oversee month-end closes, consolidate statements, and review SPAC filings with the SEC, while partnering across...
- ...the CFO. You will coordinate audits, regulatory filings, and management reporting across regulated entities to ensure FINRA/SEC compliance while driving operational excellence. Key focus areas include net capital calculations, policy development, and cross‑department...Work at office
- ...of Pershing Treasury, lead ALM matters relating to the broker‑dealer balance sheet monitoring and explaining changes and related management... ...funding, capital and liquidity position of the entity Ensure compliance with all limits, escalating and remediating breaches and early...Flexible hours
- BNY is seeking a Senior Vice President of Segment Marketing for the Banks & Broker Dealers segment, located in New York, NY. The role drives the overall marketing strategy across global and regional priorities, shaping segment positioning and value propositions to deepen...
- ...Dealer A Table Games Dealer is responsible for providing an entertaining experience for guests while dealing casino games according to the rules of the game being played. Responsibilities: Deals a variety of casino games. Handles cards, dice, chips, and gaming...Part time
$285k
...data center real estate and infrastructure lending, providing consultation on all data center lending opportunities. Serve as the subject... ...negotiating, syndicating and closing loans; analyzing interest rate, swap rate markets, and corporate bond pricing; interpreting and...Full timeJP Morgan Chase
New York, NY4 days ago$200k - $250k
...the Flow Credit Derivatives desk, making markets in a variety of synthetic credit instruments, including single-name credit default swaps, index credit default swaps, and European-style swaptions on index credit default swaps. Negotiate and execute trades in a variety of...Full timeRemote workCitigroup
New York, NY4 days ago- MOTORYSE is seeking a Territory Sales Representative to build and grow a dealer and partner network in New York and New Jersey. This hunter role focuses on prospecting, signing, and activating new accounts that can sell MOTORYSE retrofit automation products. You will target...
- ...JPMorgan Chase Bank, N.A. in New York, NY is seeking a Broker-Dealer & Cash Equities Attorney to join the Equity Practice Group in the Legal department. The role provides regulatory advice to cash equities research, sales and trading teams and interfaces with regulators...
- Join the NA Broker Dealers and Market Structure Payments Sales team!As a Payments Sales... ...; Collaborate with client service, compliance, operations, technology, risk, credit,... ...integrated treasury solutions within a consultative and client-focused framework. Create strategic...Overseas
JP Morgan Chase
New York, NY6 days ago $110.7k - $218.3k
Position Summary Senior Consultant - Regulatory & Compliance - Enterprise Operations & Risk Our Deloitte Regulatory, Risk & Forensic team helps client leaders translate multifaceted risk and an evolving regulatory environment into defensible actions that strengthen...Local areaVisa sponsorshipDeloitte
New York, NY3 days ago- ...apply for other labor markets outside of NCAL.Support Health Plan Risk Adjustment operations through government audit readiness, compliance oversight, and internal quality assurance reviews. Perform coding validation, documentation review, and data-driven analysis to ensure...Work experience placement
Kaiser Permanente
New York, NY5 days ago - ...Withum is experiencing significant growth driven by market demand for assurance services. Our team is seeking a Contract Compliance Senior Consultant with experience performing royalty audits, franchise compliance audits, revenue participation audits, lease agreement...Full timeContract workWork at officeLocal area
Withum Smith+Brown
New York, NY3 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Swap Dealer Compliance Consultant. Be the first to apply!
Related searches
- dealer sales New York, NY
- dealer New York, NY
- regulatory officer New York, NY
- regulatory affairs specialist New York, NY
- aml compliance analyst New York, NY
- medicare compliance specialist New York, NY
- compliance analyst New York, NY
- information security compliance analyst New York, NY
- senior compliance analyst New York, NY
- regulatory specialist New York, NY