Chief Compliance Officer (CCO), CFTC Swap Dealer & SEC Security-Based Swap Dealer

Chief Compliance Officer (CCO), CFTC Swap Dealer & SEC Security-Based Swap Dealer

About the Company

Global financial institution with complex derivatives compliance and risk governance needs.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is in search of a Chief Compliance Officer (CCO) to lead and oversee the compliance programs for its CFTC-registered Swap Dealer and SEC-registered Security-Based Swap Dealer entities. This senior leadership role is pivotal in ensuring adherence to CFTC and SEC regulatory frameworks, maintaining strong governance, surveillance, and risk management controls across all derivatives activities. The CCO will be responsible for the design, execution, and enhancement of the compliance programs, as well as for regulatory engagement, board-level reporting, and firmwide compliance strategy. Key responsibilities include overseeing and enhancing compliance programs, maintaining compliance governance structures, leading the preparation of annual CCO reports, and managing regulatory inquiries and examinations. Applicants for the CCO position at the company should have a Bachelor's degree, with an advanced degree or compliance/risk certification preferred, and at least 10 years of experience in compliance, legal, risk, or audit within derivatives, capital markets, or banking environments. Deep knowledge of CFTC Swap Dealer rules and SEC SBSD regulations is essential, as is strong experience in managing regulatory exams, governance frameworks, and compliance reporting processes. The role requires a strong understanding of business conduct standards, recordkeeping, and derivatives trading controls, as well as excellent communication skills and the ability to engage with senior stakeholders and regulators. The successful candidate will be a strategic leader with the ability to operate in a highly regulated, fast-paced environment and will be responsible for driving a strong compliance culture across the organization.

Travel Percent
Less than 10%

Functions

• Legal