Dodd-Frank, Futures, Swaps
• Surveilling, auditing and monitoring the Firm’s futures activity (financial futures, index futures, energy) and fixed income security activity (Corporate, Treasury, ABS and MBS, Agencies, Repos, etc.)
• Familiarity with Dodd-Frank OTC derivatives regulation and swaps generally a plus. Work on the Firm’s project to establish a Swap Execution Facility (“SEF”) will be substantial.
• Familiarity as well with equity activity (stock, preferred, convertible, options) is a plus.
• With regard to all products, the ideal candidate will be familiar with, and will work towards ensuring the Firm complies with applicable securities and futures regulation and law.
• Monitoring, updating and enforcing the Firm’s compliance policies and written supervisory procedures.
• Monitoring and documenting the Firm’s trade flows, order routing, execution and trade reporting functions for best practices and adherence to high standards.
• Reviewing trade mark-ups, exceptions and other compliance reports.
• Liaising with industry regulators, both when the Firm is examined and in responding to regulatory inquiries, investigations and sweeps.
• Documenting, categorizing and tracking of Firm errors and error trading policies.
• Performing testing and verification of Firm transaction reporting (TRACE, OATS, MSRB, etc.)
Qualifications:
• Candidates should have 6 to 10 years experience in implementing, surveilling and/or auditing (i) Futures Commission Merchant compliance with CFTC, NFA and other futures industry regulations, or (ii) Broker-Dealer compliance with SEC, FINRA and other securities industry regulations. Any direct experience with derivatives, swaps and other Dodd Frank issues a positive.
• BA or BS in a related academic discipline is preferred.
• Series 3 and 7 licenses are preferred. Series 24 a plus.
• Familiarity with Fidessa, Bloomberg, TRACE, TRF, OATS desired.
To apply please submit your resume to:
Jack Kelly
JKelly@ComplianceSearch.com
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