Job Description

We are seeking an Assistant Vice President (AVP) to join our Regulatory Reporting team, with a focus on Swap Dealer compliance under CFTC regulations. The successful candidate will be responsible for overseeing, executing, and enhancing regulatory reporting processes related to swaps, ensuring adherence to U.S. Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), and other applicable jurisdictional requirements. Key Responsibilities: Own daily, weekly, and monthly regulatory reporting obligations under CFTC Part 45, 46, and 23, including real-time, confirmation, and valuation data for swaps. Monitor and reconcile trade and position reporting to SDRs (e.g., DTCC, ICE Trade Vault), ensuring completeness, accuracy, and timeliness. Maintain compliance with Swap Dealer obligations under CFTC Part 23 (e.g., risk management, business conduct standards, external business conduct, and reporting). Liaise with internal stakeholders (Legal, Compliance, Risk, Technology, Front Office) and external regulators during inquiries, exams, or audits. Conduct root cause analysis and implement remediation plans for reporting breaks or late/inaccurate submissions. Partner with Technology and Change teams on regulatory reporting projects, system enhancements, and rule change implementations (e.g., CFTC Rewrite, EMIR Refit). Review and interpret regulatory updates to assess impact on reporting obligations and operational processes. Assist in preparation and submission of periodic filings (e.g., CCO Annual Reports, NFA Swap Dealer questionnaires). Contribute to control framework improvements, including control design, documentation, and automation. Support the development and mentoring of junior team members. Qualifications: Required: ~ Bachelor's degree in Finance, Economics, Business, or a related field. ~5+ years of experience in regulatory reporting, trade reporting, or swap operations within a financial institution. ~ Strong knowledge of U.S. swap regulatory framework (CFTC Parts 23, 45, 46, and related guidance). ~ Familiarity with SDR reporting processes and platforms (e.g., DTCC GTR, ICE Trade Vault). ~ Experience with swap data elements (e.g., UTI, USI, LEI, collateral, notional). ~ Proficient in Microsoft Excel (vlookups, pivots) and ability to analyze large data sets. ~ Exceptional attention to detail, analytical, and communication skills.

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