License & Registration Swaps/NFA Compliance Officer

7 days ago


India UBS Full time US$ 80,000 - US$ 1,20,000 per year

Do you have good judgment? Are you a strong communicator? We're looking for talented people to join our Compliance & Operational Risk Control US Licensing and Registration team:


• Front-to-back management of the Associated Persons population for the CFTC Swap Dealer and SEC Security-Based Swap Dealer regimes, including.interacting with the business to determine whether AP population is accurate.

• Manage the CFTC and SEC Principal vetting and registration processes.

• Update CFTC and SEC Registration Documents as required.

• Drive or contribute to the resolution of strategic and tactical challenges pertaining to Associated Persons, in collaboration with stakeholders such as the Swap Dealer Regulatory Governance / compliance team, including case management and new logic.

• Enable a sustainable and effective to maintain an accurate, complete and compliant Associated Person population globally, across the AMER, EMEA and APAC regions.

• Manage the Swap Execution Facility ("SEF") authorized trader lists in collaboration with the COO functions.

• Assist with managing and carrying out Swap/NFA registration related projects.

• Assist with developing control metrics to ensure compliance with key regulatory requirements.



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