SD Compliance – Capital Markets SME

Our client is seeking an experienced Swaps Dealer Compliance Capital Markets SME to support capital markets compliance initiatives across multiple business units and functions. This role involves assessing processes and controls against regulatory requirements coordinating with cross-functional stakeholders and driving remediation efforts to close compliance gaps.

Responsibilities & Qualifications

• Support Swaps Dealer Compliance initiatives across Capital Markets businesses assessing business processes controls and technology workflows against compliance and regulatory requirements
• Partner with Compliance Risk Operations Business and Technology stakeholders to identify compliance requirements and control gaps; gather analyze and document regulatory and business requirements
• Perform gap assessments and support development and implementation of remediation plans; review existing processes and controls to define enhancements
• Support regulatory change initiatives including requirements analysis impact assessments testing implementation and documentation
• Coordinate with cross-functional stakeholders to track issues dependencies risks and remediation activities throughout projects
• Assist with preparation of compliance documentation procedures control evidence and management reporting
• Support UAT and validation of business and technology changes related to compliance requirements

Requirements

• 1015 years of experience in Swaps Dealer Compliance and Capital Markets regulatory compliance
• Strong expertise in regulatory compliance risk management and control assessment frameworks
• Demonstrated proficiency in gap analysis requirements gathering and process analysis
• Experience conducting control assessments and developing remediation strategies
• Excellent stakeholder management and communication skills across multiple business functions
• Strong documentation skills; ability to prepare clear compliance procedures control evidence and reports
• Experience supporting UAT validation and implementation of regulatory and technology changes