Compliance - CCO Swap Dealer - New Jersey

Job Description

B2C2 is seeking a Compliance Officer/CCO to serve as a key advisor for its planned swap dealer entity in New Jersey. The Compliance Officer will play a leadership role in managing the swap dealer application process and establishing internal strategies, policies, procedures, and programs to comply with U.S. commodities swaps rules and regulations.This role involves:

• Coordinating and managing the swap dealer application process.
• Advising on and implementing Swap Dealer Compliance Program requirements.
• Ensuring swap dealer integration with B2C2’s global compliance program.
• Working closely with internal stakeholders on CFTC, NFA, and potentially SEC swap dealer issues.
• Advising the business and corporate functions on regulatory requirements.
• Assisting in responding to swap dealer-related regulatory inquiries, audits, and examinations.
• Acting as a point of contact for compliance matters.
• Overseeing NFA membership expectations.
• Coordinating with B2C2’s Trade/Communications Surveillance, Transaction Monitoring/AML teams.
• Assisting Compliance Testing in developing monitoring and testing.
• Performing regulatory horizon scanning in relation to swaps/derivatives markets.
• Providing advice to B2C2 businesses/management on new initiatives.
• Assisting with preparing presentations for B2C2’s various governance forums.
• Preparing the annual CFTC Swap Dealer Chief Compliance Officer Reports.

Requirements for this position include:

• Bachelor’s (BA/BS) degree required.
• Minimum 7+ years’ experience in relevant experience in a CFTC/NFA based regulatory compliance/legal role.
• Demonstrated Knowledge of CFTC/NFA swap dealer requirements, laws and regulations.
• Knowledge of swaps products and markets.

B2C2 offers:

• A role in an exciting new industry.
• A dynamic company culture.
• Equal employment opportunities.
• Flexible working arrangements.