Operations Consultant - Swap Dealer

Job Summary

A company is looking for an Operations Consultant - Swap Dealer & Introducing Broker Dealer.

Key Responsibilities:

• Conduct periodic reviews of regulatory processes to ensure controls are functioning and implement remediation plans
• Ensure compliance with CFTC and NFA regulations, including trade reporting and recordkeeping
• Analyze operational processes to identify inefficiencies and recommend measurable enhancements

Qualifications:

• Minimum 3 years of experience in financial services with exposure to brokerage and swap dealer operations
• Strong understanding of introducing broker-dealer models and clearing firm relationships
• Knowledge of derivatives and foreign exchange regulatory obligations
• Proficiency in Microsoft Excel
• Experience with process improvement methodologies is preferred