Compliance, Swap Dealer Compliance, Associate

Location(s) US-UT-Salt Lake City
Job ID
Schedule Type
Full Time
Business Unit
Employment Type




Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. 


Position Overview:


The Swap Dealer Compliance Team is seeking a Compliance Officer to support the growth of our advisory compliance team aiding the implementation of new Securities Swap Dealer policies, working with existing CFTC and Dodd Frank policies, and remediating any regulatory issues. This position will require direct advisory work with the trading floor and other divisions, and a knowledge of SEC, CFTC & NFA regulations. In addition, the position will work directly with key internal stakeholders (including Operations, Technology, Finance and Legal) to effect change and enhance the compliance program and assist the Chief Compliance Officers of the firm's swap dealers ("SD") to satisfy their duties and responsibilities under various rules, including Dodd-Frank. The Team also liaises with regulators, and assists in the Swap Dealer training program administration and development.



  • Assist in responding to regulatory inquiries, audits, examinations and investigations, and liaising with regulators (SEC, CFTC & NFA)
  • Assist the Swap Dealer team with advisory coverage of swap dealer including the sales and trading activity in the U.S. office, as well as the global impact of the relevant U.S. regulations
  • Serve as an escalation point for non-compliance issues and assist with managing non-compliance issues
  • Assist in drafting CCO annual reports for the firm's SD entities
  • Assess the effectiveness of all in-scope CFTC rules
  • Develop and maintain reports for review by senior management in Compliance
  • Assist in the development and implementation of the Firm's Security Based Swap Dealer (SBSD) compliance program, including facilitating SBSD registration.



  • 3+ years’ experience in CFTC, SEC, NFA swap dealer regulations
  • Experience writing and implementing policies and procedures, as well as remediating existing ones
  • Strong overall product knowledge and regulatory experience within the OTC derivatives and swap dealer businesses
  • Strong interpersonal skills and the ability to manage processes and key internal stakeholders
  • Work effectively with personnel in different office locations and in different time
  • Have project management experience involving large groups
  • Keep strategic direction in mind while still working on detailed tasks
  • Bachelor’s degree level educated within a relevant field
  • JD preferred but not required


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