Position Overview: Swap Dealer Compliance

This senior Compliance Officer will provide coverage for all compliance and regulatory matters relating to Jefferies Dodd-Frank Title VII obligations for both CFTC and SEC swap dealing and related activities in Jefferies regulated dealing entities and other trading entities. This role requires providing continuous support to senior business management and senior swap trading staff and requires product experience in derivatives of various asset classes including fixed income interest rate and asset backed derivatives equity swaps and currency derivatives. The role will also have significant interactions with other control function heads including legal, risk, operations and technology among other departments. The candidate should be experienced with direct dealing with external regulators, outside service providers including law firms, professional service firms and industry trade groups.


Responsibilities include:

 Managing Jefferies swap dealer compliance program including assessing and updating policies and procedures, guiding training and education process and on-going regulatory interactions

  • Providing real time and on-going advice to all stake holders on Jefferies swap dealing activities including new business activities
  • Overseeing the compliance framework for Jefferies annual Chief Compliance Officer Report
  • Leading and participating in various entity and enterprise committees relating to swap dealing activities including Swap Dealer quarterly board meetings, among other routine and ad-hoc committees
  • Detailed organizational aptitude and excellent written and oral communication skills
  • Knowledge of U.S. Securities Exchange or Commodity Futures Trading Commission laws & regulations
  • J.D., M.B.A. or other relevant advanced degree a plus

 Working closely with all Compliance Department functions to support business activities and other control functions for compliance with CEA, CFTC, NFA SEC and SRO rules, regulations, practices and emerging trends.


 10 + years of financial services experience, including but not limited to swap dealer, broker-dealer, bank and financial institutions, exchanges or SROs

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