SD Compliance – Capital Markets SME

Our client • New York, NY

3d

About The Position

Our client is seeking an experienced Swaps Dealer Compliance – Capital Markets SME to support capital markets compliance initiatives across multiple business units and functions. This role involves assessing processes and controls against regulatory requirements, coordinating with cross-functional stakeholders, and driving remediation efforts to close compliance gaps.

Requirements

• 10–15 years of experience in Swaps Dealer Compliance and Capital Markets regulatory compliance
• Strong expertise in regulatory compliance, risk management, and control assessment frameworks
• Demonstrated proficiency in gap analysis, requirements gathering, and process analysis
• Experience conducting control assessments and developing remediation strategies
• Excellent stakeholder management and communication skills across multiple business functions
• Strong documentation skills; ability to prepare clear compliance procedures, control evidence, and reports
• Experience supporting UAT, validation, and implementation of regulatory and technology changes

Responsibilities

• Support Swaps Dealer Compliance initiatives across Capital Markets businesses, assessing business processes, controls, and technology workflows against compliance and regulatory requirements
• Partner with Compliance, Risk, Operations, Business, and Technology stakeholders to identify compliance requirements and control gaps; gather, analyze, and document regulatory and business requirements
• Perform gap assessments and support development and implementation of remediation plans; review existing processes and controls to define enhancements
• Support regulatory change initiatives including requirements analysis, impact assessments, testing, implementation, and documentation
• Coordinate with cross-functional stakeholders to track issues, dependencies, risks, and remediation activities throughout projects
• Assist with preparation of compliance documentation, procedures, control evidence, and management reporting
• Support UAT and validation of business and technology changes related to compliance requirements

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed