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Operations Consultant - Swap Dealer
A company is looking for an Operations Consultant - Swap Dealer & Introducing Broker Dealer. Key Responsibilities: Conduct periodic reviews of regulatory processes to ensure controls are functioning and implement remediation plans Ensure compliance with CFTC and NFA regulations, including trade reporting and recordkeeping Analyze operational processes to identify inefficiencies and recommend measurable enhancements Qualifications: Minimum 3 years of experience in financial services with exposure to brokerage and swap dealer operations Strong understanding of introducing broker-dealer models and clearing firm relationships Knowledge of derivatives and foreign exchange regulatory obligations Proficiency in Microsoft Excel Experience with process improvement methodologies is preferred
A company is looking for an Operations Consultant - Swap Dealer & Introducing Broker Dealer.
Key Responsibilities:
Conduct periodic reviews of regulatory processes to ensure controls are functioning and implement remediation plans
Ensure compliance with CFTC and NFA regulations, including trade reporting and recordkeeping
Analyze operational processes to identify inefficiencies and recommend measurable enhancements
Qualifications:
Minimum 3 years of experience in financial services with exposure to brokerage and swap dealer operations
Strong understanding of introducing broker-dealer models and clearing firm relationships
Knowledge of derivatives and foreign exchange regulatory obligations
Proficiency in Microsoft Excel
Experience with process improvement methodologies is preferred
