Manager, Security-Based Swap Dealer and Swap Dealer Compliance

Additional office locations

New York

Job ID

24756

Date

27-Oct-2026

Permanent - Full time, Mid-level

Job category

Compliance & Regulatory

In this role, you will provide advice on relevant regulations, internal policies, and procedures to internal stakeholders, including trading and sales teams, while assisting in, among other things, internal investigations, remedial actions, and the preparation of regulatory filings. You will also respond to regulatory inquiries, audits, and examinations, liaising with regulators such as the SEC, CFTC, and NFA, and participate in the governance of SD and SBSD Associated Persons. Additionally, you will monitor regulatory developments, conduct assurance testing, develop or enhance compliance policies, and coordinate with internal stakeholders to ensure adherence to regulatory requirements and internal policies, while investigating and escalating potential non-compliance issues. 

In this role, you will provide advice on relevant regulations, internal policies, and procedures to internal stakeholders, including trading and sales teams, while assisting in, among other things, internal investigations, remedial actions, and the preparation of regulatory filings. You will also respond to regulatory inquiries, audits, and examinations, liaising with regulators such as the SEC, CFTC, and NFA, and participate in the governance of SD and SBSD Associated Persons. Additionally, you will monitor regulatory developments, conduct assurance testing, develop or enhance compliance policies, and coordinate with internal stakeholders to ensure adherence to regulatory requirements and internal policies, while investigating and escalating potential non-compliance issues.