Chief Compliance Officer - CFTC Swap Dealer and SEC Security-Based Swap Dealer

We are looking for an experienced professional to oversee and enhance our compliance programs, ensuring adherence to regulatory requirements. The ideal candidate will have a proven track record in derivatives and securities compliance, with a deep understanding of CFTC and SEC rules. This role is critical to maintaining our firm's integrity and reputation.Design, implement, and continuously improve the SD and SBSD compliance programs.Maintain and enhance the compliance program in line with CFTC and SEC regulations.Support the CCO in developing annual compliance plans and managing policies.Oversee trade reporting controls and manage exception reports and reconciliations.Support adherence to business conduct standards and eligibility requirements.Partner with Risk to maintain the SD risk management program and enhance surveillance.Design and execute risk-based compliance testing and monitoring.Serve as a point of contact for regulatory examinations and inquiries.Oversee compliance with books-and-records requirements and system-of-record documentation.Provide advisory support and targeted training to various teams on SD/SBSD rules.