CFTC & SEC Swap Dealer - OTC Derivatives Analyst!

Sia Partners
New York, USA
0 + Competitive
Oct 20, 2017
Oct 26, 2017
Job Function
Industry Sector
Finance - General
Employment Type
Full Time


  • Undertake various client engagements and ensure consistent delivery of superior client service; this includes leading and assuming responsibility for high quality deliverables while respecting established timeframes and budget.
  • Participate with the development of the firm's OTC Derivatives business internally through training, publishing and gaining industry knowledge
  • Keep up to date on the regulatory environment and industry practices
  • Analyst will be expected to develop and present project proposals to new and existing clients
  • When on an assignment, utilize best practices to identify project scope, identify risks, collect statuses and report regularly to stakeholders
  • Analyze OTC derivative business processes and controls, and provide remediation recommendations where necessary
  • Interact with Front Office personnel on a daily basis to collect and analyze business requirements and efficiently complete ad-hoc assignments


  • Extensive knowledge of the CFTC and/or SEC Swap Dealer rules (3-5 years)
  • Knowledge of or experience with the NFA examination process
  • Industry-wide knowledge of the OTC Derivatives markets and the application of Dodd-Frank
  • Solid knowledge of the history and current status of all CFTC and SEC rules as well as the new NFA requirements
  • Experience planning, conducting and reviewing audits/examinations a plus
  • Strong academic background and knowledge of the capital markets (MBA/CFA a plus)
  • Outstanding team player, autonomous, dynamic, result oriented, rigorous and committed
  • Excellent communication skills (verbal and written) and able to communicate complex ideas to all areas of the business
  • Flexibility, able to execute against tight deadlines, work with minimum supervision, exercise independent judgment and prioritize work

Similar jobs

Similar jobs