Regulatory Compliance Specialist

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  • Location:

    New York

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  • Published:

    23 days ago

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Job Title: Compliance Risk Specialist

Duration -6 months

Location - NY, NY.(Hybrid, 3x a week on-site)

What will the resources be doing on a day-to-day basis:

Swap Dealer and Future Commission Merchant (FCM) policies and procedures; Swap training content development and completion monitoring; support for Swap Dealer Regulatory Exams requests and meetings, support for drafting of Swap Dealer and FCM compliance governance reports and Annual Compliance Reports support for Volcker Rule training content development and completion monitoring; executing certain regulatory change management program responsibilities for swap dealers, broker-dealers and CGMI.

Role relates to compliance program for regulated entities (Swap Dealers, Futures commission merchants).


US Regulatory SME.

Must have US Regulatory experience and Derivatives from the broker dealer side.

Large US banking experience (derivatives/ swaps).

US Regulatory SME.

Strong documentation skills, communication skills.

Bachelor's degree.

Digital Intelligence Systems, LLC (DISYS) is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.