Vice President, Swap Dealer Compliance

State Street

Compliance Officer specializing in SEC, CFTC, and NFA swaps requirements. Leading compliance governance and regulatory initiatives for Swap Dealer at State Street.

Posted 6/12/2026full-timeBoston • Massachusetts, North Carolina • 🇺🇸 United StatesLead💰 $110,000 - $207,500 per yearWebsite

About the role

Key responsibilities & impact

Advise internal stakeholders on implementation and development of SEC, CFTC and NFA swaps requirements
Lead the development of relevant compliance program elements including policies and procedures, training, risk assessments, issues management, governance and management reporting
Engage with the business, including Markets Financing Solutions, FX Sales & Trading, as well as Compliance, Legal, Operations, Enterprise Risk Management, Finance and Audit stakeholders
Monitor and analyze the implementation of proposed and final rules promulgated by the CFTC, SEC and NFA on swaps and security-based swaps
Assist in overseeing the Volcker Rule compliance program
Provide regulatory guidance to management, business lines, and functions
Respond to regulatory inquiries, audits, examinations and investigations, and liaise with regulators (SEC, CFTC & NFA)
Develop training for Associated Persons to educate employees of their obligations and expected behaviors.

Requirements

What you’ll need

JD or MBA, with preference to Business or Finance majors
5+ years of relevant experience in a Swap Dealer Compliance office position or similar role in Compliance/Legal or Risk departments covering above-referenced regulations
5-10 years financial services experience with a broker-dealer, swap dealer, and/or related legal or regulatory experience (e.g. Former SEC, CFTC or NFA experience)
Working knowledge of Volcker Rule requirements, and experience overseeing a Volcker Rule compliance program
Ability to understand the compliance issues involved with the State Street Markets Business, swaps and security-based swap regulation
Experience writing and implementing policies and procedures, management information and reports
Extensive knowledge of financial services products, markets, laws, rules and regulations relevant to OTC derivatives, Equity Derivatives, FX, swaps, Interest rate swaps, futures and options
Experience with the monitoring, and testing of compliance programs.
Proficiency in Excel, PowerPoint, and Microsoft Office.

Benefits

Comp & perks

insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages
paid-time off including vacation, sick leave, short term disability, and family care responsibilities
access to our Employee Assistance Program
incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans)
eligibility for certain tax advantaged savings plans

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance program developmentrisk assessmentspolicy writingregulatory guidancecompliance monitoringOTC derivatives knowledgeEquity Derivatives knowledgeFX knowledgeswaps knowledgeVolcker Rule compliance

Soft Skills

stakeholder engagementtraining developmentissues managementgovernancemanagement reportingcommunicationanalytical skillsproblem-solvingleadershiporganizational skills

Certifications

JDMBA