Role OverviewThis role is part of the SEF Compliance team and is responsible for supporting the firm's regulatory oversight, market surveillance, and compliance monitoring activities across Swap Execution Facility (SEF) platforms. The position plays a key role in ensuring compliance with CFTC and SEC regulatory requirements through real-time monitoring of trading activity, review of electronic communications, oversight of regulatory reporting obligations, and management of trade surveillance inquiries.
The successful candidate will work closely with internal stakeholders and external regulatory bodies, including the National Futures Association (NFA), to investigate potential market irregularities, support regulatory examinations, and ensure the effectiveness of controls, processes, and procedures governing SEF operations.
The role also contributes to management reporting, industry benchmarking, and ongoing regulatory compliance initiatives, requiring strong analytical, communication, and organizational skills within a collaborative, team-oriented environment.
Role Responsibilities:- Respond to regulatory inquiries from CFTC and SEC;
- Conduct real time market monitoring of trading activity on all SEF platforms;
- Monitor electronic communications that are flagged as per a predefined lexicon and review/escalate any potential irregularities;
- Ensure all regulatory trade reporting is accurate;
- Work with relevant teams to ensure processes and procedures supporting SEF activity is conducted in accordance with relevant regulations;
- Responsible for compiling weekly report of industry comparisons across all asset classes for SEF Management;
- Coordinate with SEF's regulatory service provider, NFA, regarding trade surveillance exceptions and resulting inquiries/investigations; and
- Other duties as may be assigned.
Experience / Competences:Essential
- Able to work in a dedicated, team-oriented setting;
- Prior compliance experience in the financial services industry, preferably with a broker-dealer or swap dealer;
- Possess excellent written and verbal communication skills.
Desired
- Bachelor's Degree or equivalent combination of education and/or experience;
- Prior experience with a self-regulatory organization such as NFA/FINRA;
- Advanced knowledge of Microsoft Excel including Pivot tables
Level 6
$125,000-$150,000
LocationUSA - 200 Vesey Street - New York, NY
