Business Analyst - Regulatory Compliance

  • Based on experience
  • New York, NY, USA
  • Contract, Full time
  • Sia Partners
  • 19 Sep 16

OVERVIEW: The role will focus on regulatory compliance for CFTC & SEC swap dealers. This role will knowledge of the rules and current activities of the CFTC, the SEC, and the NFA.


-Manage the development a robust global compliance program for the bank's CFTC and SEC Swap Dealers.

-Provide guidance for the CFTC and the SEC Swap Dealer Regulations to assess compliance and recommend enhancements

-Manage the implementation of remediation actions for the Swap Dealer compliance program and related policies/procedures as needed on an ongoing basis.

-Assist with analyzing new rules and changes to existing rules for all swap transactions; including Canadian, European and Asian Markets. 

-Assist with impact analysis on banks globally based on new swap reform regulations across all global markets.

-Assist with the development and implementation of policies/procedures as necessary to comply with international regulation applicable to the bank's swap activities in the US.



-Bachelor’s degree (Graduate MBA or JD degree desirable),

-2-5 years of CFTC/SEC regulatory experience; 5-12 years total experience, preferably in a regulatory capacity, (i.e. federal regulator, self-regulatory organization, law firm or trading environment)

-Knowledge of Dodd-Frank/derivatives regulations

-Familiarity with Capital Markets products and their front-to-back processing

-Project Management skills

-Strong organizational skills and attention to detail