Manager Swap Dealer Advisor

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Manager, Swap Dealer Advisor
Responsibilities: Assisting the SD CCO in administering a Swap Dealer Compliance program. Advising Sales and Trading and related Operations teams on CFTC swap regulations and Designated Contract Market (DCM) rules involving Commodities (energy & metals), Foreign Exchange and Interest Rate derivatives. Performing root cause analysis, applicability and control reviews and risk assessments. Helping maintain written policies and procedures of swaps and exchange-traded futures. Contributing to internal reports (e.g., management committees and the Board). Working closely with the Legal Department and outside counsel regarding potential and actual changes in CFTC and NFA rules, regulations and interpretive guidance. Leading the implementation of new/amended rules and regulations. Working with Compliance Assurance to ensure compliance testing is appropriate based on the level of risk. Liaising with the Surveillance Team on disposition of alerts related to communications and trading. Assisting with the development and delivery of compliance training. Representing Capital One in industry working groups dedicated to advocacy, interpretation and implementation of new/proposed rules. Assisting with audits and regulatory/DCM inquiries, coordinating collection and review of responses. Conducting ongoing compliance risk assessments and coordinate with business leads to identify and mitigate risks and control gaps.

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