Operations Consultant - Swap Dealer & Introducing Broker Dealer
Operations Consultant - Swap Dealer & Introducing Broker Dealer
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$ 68000 - 90000
1 Vacancy
Job Description
Location:
4900 Tiedeman Road Brooklyn OhioJob Summary:
This dualfunction role supports both the backoffice operations of a registered swap dealer and the middle office operations of an introducing broker. The consultant will drive process improvements ensure regulatory compliance and support operational readiness across derivatives and securities workflows. The role requires knowledge of regulatory frameworks process improvement and crossfunctional coordination.
Key Responsibilities:
- Conduct periodic reviews of regulatory processes to ensure controls are functioning as intended document any selfidentified findings and ensure sustainable remediation plans are put in place.
- Ensure compliance with CFTC and NFA regulations including trade reporting position limit monitoring and recordkeeping.
- Analyze operational processes to identify inefficiencies and recommend process enhancements with measurable results.
- Serve as a liaison between trading desks compliance and technology teams to implement operational changes.
- Develop client centric metrics to measure performance.
- Maintain expertise in industry trends Risk Management Compliance and Operations.
- Interpret data mining findings for senior leadership.
- Lead and manage project completion.
- Build strong relationships with internal and external stakeholders.
- Support internal and external audits. (i.e. EY Internal Audit FINRA SEC NFA CFTC)
Qualifications:
- Minimum 3 years of experience in financial services with direct exposure to brokerage and swap dealer operations.
- Strong understanding of introducing brokerdealer models and clearing firm relationships.
- Knowledge of derivatives and foreign exchange regulatory obligations.
- Ability to troubleshoot and solve issues.
- Excellent analytical organizational and communication skills.
- Proficiency in Microsoft Excel.
Preferred:
- NFA Swaps Proficiency Requirements and/or FINRA Series 99 a plus.
- Exposure to process improvement methodologies (e.g. Lean Six Sigma).
- Experience with Calypso and/or NetX360.
Key has implemented a rolebased Mobile by Design approach to our employee workspaces dedicating space to those whose roles require specific workspaces while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result this role may be mobile or home based which means you may work either at a home office or in a Key facility to perform your job duties. Preferred locations include Brooklyn OH and Amherst NY. Please note that if you are local to main KeyBank facilities you may work partially from the office location per managements guidance and expectations.
COMPENSATION AND BENEFITS
This position is eligible to earn a base salary in the range of $68000.00 to $90000.00 annually depending on location and jobrelated factors such as level of experience. Compensation for this role also includes eligibility for shortterm incentive compensation.
Please click here for a list of benefits for which this position is eligible.
Key has implemented a rolebased Mobile by Design approach to our employee workspaces dedicating space to those whose roles require specific workspaces while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result this role may be Mobile or Homebased which means you may work primarily either at a home office or in a Key facility to perform your job duties.
Job Posting Expiration Date: 05/29/2025 KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin disability or veteran status.Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing
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Required Experience:
Contract
Employment Type
Full-Time
