Position Details
About this role
This role involves establishing and managing compliance programs for a Security Based Swap Dealer, ensuring adherence to regulatory requirements, and coordinating filings with SEC and FINRA.
Key Responsibilities
- Build compliance program
- Coordinate SEC and FINRA filings
- Work with legal and business partners
- Ensure supervisory program compliance
- Support regulatory audits
Technical Overview
Focuses on securities regulation, swap dealer compliance, SEC and FINRA filings, and supervisory program development.
Ideal Candidate
The ideal candidate is a mid-level compliance officer with experience in securities and swap dealer regulations, familiar with SEC and FINRA filings, and capable of building compliance programs.
Must-Have Skills
Nice-to-Have Skills
Tools & Platforms
Required Skills
Hard Skills
Soft Skills
Industry & Role
Keywords for Your Resume
Deal Breakers
Lack of securities or swap dealer experience, No regulatory compliance background, Inability to handle SEC or FINRA filings
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