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About the Role

The Compliance Officer will advise internal stakeholders on SEC, CFTC, and NFA swap dealer requirements. This role involves developing compliance program elements, including policies, training, risk assessments, and governance, while assisting the Swap Dealer Chief Compliance Officer in day-to-day regulatory oversight.

Responsibilities

• Administer policies and procedures for the Swap Dealer and Security-Based Swap Dealer Compliance Program.
• Ensure compliance with SEC, CFTC, and NFA regulatory requirements.
• Prepare the Annual Compliance Report.
• Provide coverage for senior management meetings.
• Act as a subject matter expert for Swap Dealer matters.
• Prepare and file reports including NFA Member Questionnaires, Risk Exposure Reports, and NFA Monthly risk reports.
• Monitor and analyze proposed and final rules from U.S. financial regulators.
• Represent the company in industry working groups.
• Assess the impact of new regulations on existing policies and implement changes.
• Provide regulatory guidance and advisory services to business lines and control functions.
• Respond to regulatory inquiries, audits, and investigations.
• Develop training for Associated Persons.
• Serve as an escalation point and coordinate remediation of non-compliance issues.
• Assess the effectiveness of rules, obligations, risks, and controls.
• Develop monitoring and testing programs in collaboration with business teams and Audit.

Requirements

• JD or MBA degree, preferably in Business or Finance.
• 5+ years of relevant experience in a Swap Dealer Compliance office or similar role in Compliance, Legal, or Risk.
• 5-10 years of financial services experience with a broker-dealer or swap dealer.
• Working knowledge of Volcker Rule requirements and compliance program oversight.
• Understanding of compliance issues related to swaps and security-based swap regulation.
• Experience writing and implementing policies, procedures, and management reports.
• Extensive knowledge of financial services products, markets, and regulations regarding OTC derivatives, Equity Derivatives, FX, swaps, interest rate swaps, futures, and options.
• Experience with monitoring and testing compliance programs.

Skills

• Strong interpersonal skills.
• Process management.
• Effective verbal and written communication.
• Training delivery.
• Attention to detail.
• Analytical skills.
• Excel
• PowerPoint
• Microsoft Office

Experience Level

• 5+ years of relevant experience
• 5-10 years financial services experience

Education Level

• JD
• MBA

Salary/Compensations

• $110,000 - $207,500

Benefits

• Retirement savings plan (401K) with company match
• Medical, dental, and vision insurance
• Basic life insurance
• Long-term disability coverage
• Paid time off including vacation, sick leave, and short-term disability
• Family care responsibilities
• Employee Assistance Program
• Annual performance-based incentive compensation
• Tax-advantaged savings plans

About the Company

• State Street provides services to institutional investors to help manage risk and drive performance.
• The company is committed to fostering an inclusive environment with development opportunities and flexible work-life support.

Equal Opportunity

• State Street is an Equal Opportunity Employer and considers all qualified applicants without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, or other protected characteristics.