Chief Compliance Officer – Derivatives & Swaps recruitment
The position is new in response to Dodd Frank requirements.
The CCO will be responsible for the following:
• CCO must supervise a Swap Execution Facility (SEF) self-regulatory program.
o trade practice surveillance;
o market surveillance;
o real-time market monitoring;
o compliance with audit trail requirements;
o enforcement and disciplinary proceedings; and
o audits, examinations and other regulatory responsibilities with respect to members and market participants.
o establish and administer a written code of ethics, and policies and procedures, designed to prevent violations of the CEA and CFTC regulations;
o establish and administer written policies and procedures, including a compliance manual, designed to prevent violations of the CEA and CFTC regulations;
Candidates should have 10 +/- years of relevant experience.
To apply please submit your resume to Jack Kelly – Jkelly@compliancesearch.com