Derivatives Compliance Officer
About The Position
Citizens is seeking a highly motivated Compliance Officer to join the Swap Dealer Compliance team. This role supports the firm’s registered swap dealer activities and ensures adherence to regulatory requirements under the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA). The Compliance Officer will work closely with senior compliance officers to monitor trading activity, review policies and procedures, and assist in the implementation and review of compliance controls. This is a critical role for maintaining Citizens’ strong compliance culture and supporting the Swap Dealer business.
Requirements
- Bachelor’s degree in finance, Economics, Legal Studies, or related field.
- Familiarity with swap dealer regulatory requirements and compliance best practices.
- 2-4 years of experience in compliance, risk management, or regulatory affairs.
- Strong analytical, organizational, and communication skills.
- Ability to work collaboratively across business and control functions.
- Proficiency in Excel, PowerPoint, and Word.
Nice To Haves
- Experience with AI is a plus.
Responsibilities
- Conduct trade and communications surveillance, compliance testing, and escalate potential issues.
- Support the development and maintenance of policies and procedures aligned with CFTC and NFA regulations.
- Facilitate compliance training and manage attestation processes for swap dealer personnel.
- Collaborate with Legal, Risk, and Operations to ensure cross-functional compliance.
- Participate in regulatory exam and internal audit responses.
Benefits
- competitive pay
- comprehensive medical, dental and vision coverage
- retirement benefits
- maternity/paternity leave
- flexible work arrangements
- education reimbursement
- wellness programs
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
