Axiom · 10 hours ago

Compliance Counsel - Swaps

United States

Full-time

Remote

Senior Level, Lead/Staff

8+ years exp

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No H1B

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Responsibilities

Ensure compliance with CFTC-specific mandates and regulations, particularly within Swap Execution Facilities (SEFs) and Alternative Trading Systems (ATS).

Educate business units on 15C3-5 (Direct Market Access) requirements, and develop comprehensive policies and procedures to maintain compliance.

Collaborate closely with auditors to verify adherence to relevant legal and regulatory standards.

Assist with venues management projects related to swap execution facilities by identifying gaps in policies, procedures, and controls, and devising and implementing compliant protocols and processes.

Qualification

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Bar admissionSwaps complianceCFTC regulationsSEF regulations15C3-5 complianceNFA rules compliance17a-3 regulations17a-4 regulations