Compliance CCO Swap Dealer New Jersey

## Role and Responsibilities Coordinate and manage swap dealer application process including interactions with external advisory firm(s) in development or regulatory policies, procedures, controls and processes. Advise on, and implement Swap Dealer Compliance Program requirements, including policies and procedures, training, issues management, risk assessments, governance and management reporting, metrics and assisting in the remediation of non-compliance matters. Coordinate with Global/US Legal and Compliance teams to ensure: swap dealer integration with B2C2’s global compliance program; achieving highest level of ethical and professional expectations in line with B2C2’s core values. Work closely with internal stakeholders (business and corporate functions including Client Onboarding/KYC, Operations, Risk, Sales, Trading, Finance, IT, etc.) on CFTC, NFA and potentially SEC swap dealer issues. Advise the business and corporate functions on regulatory requirements, developments and expectations across the swap dealer regimes including business conduct requirements, swap data reporting, risk-based capital program, margin, marketing materials, recordkeeping etc. Assist the Compliance, Regulatory and Legal Teams in responding to swap dealer-related regulatory inquiries, audits, examinations, etc., including driving associated responses with relevant stakeholders. Act as a point of contact for compliance matters inside and outside the organization; liaise with regulators (e.g., CFTC & NFA) as required; communicate with clients throughout client relationships. Assist in managing conflicts of interest and other issues that may arise in running the Swap Dealer Compliance Program. Oversee NFA membership expectations, including associated person requirements and NFA examinations. Coordinate with B2C2’s Trade/Communications Surveillance, Transaction Monitoring/AML teams in relation to market conduct and trading expectations. Assist Compliance Testing in developing monitoring and testing to review and challenge controls and implementation of obligations with Compliance and business teams, and work with Audit on their ongoing reviews. Perform regulatory horizon scanning in relation to swaps/derivatives markets and advise on ongoing developments to regulatory landscape in commodities and securities based derivatives, particularly in relation to interrelationship with crypto assets. Provide advice to B2C2 businesses/management on new function/business/product initiatives and client-related matters with respect to derivatives-related internal policies/procedures, rules/regulations and regulatory expectations. Assist with preparing presentations for B2C2’s various swap dealer and global governance forums including periodic Legal, Compliance and swap dealer specific meetings, as well as board presentations, etc. Preparation of the annual CFTC Swap Dealer Chief Compliance Officer Reports. ## Qualifications and Education Requirements Bachelor’s (BA/BS) degree required. Minimum 7+ years’ experience in relevant experience in a CFTC/NFA based regulatory compliance/legal role (compatibility with a fintech or cryptoasset trading firm is a plus). Demonstrated Knowledge of CFTC/NFA swap dealer requirements, laws and regulations. Knowledge of swaps products and markets. Knowledge/fluency in cryptocurrency and blockchain industry concepts is a plus. Experience building and developing compliance programs and policies in a fast-moving growth company environment. Ability to effectively manage multiple priorities and learn new tools quickly. Ability to make independent decisions as well as collaborate effectively with a team. Willingness to work across different time zones with global and regional teams. Strong interpersonal skills: Effective communicator both written and verbal. Ability to face-off to management team, Front Office, Onboarding/KYC, Operations, Risk, Sales, Trading, Finance, IT, Audit. Very well-organized and good at multi-tasking. Track-record of keeping good composure in a fast-paced, high-pressure environment. Energetic / self-starter. Ability to take direction and act quickly.

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