NYC 299 Park Avenue (22957), United States of America, New York, New York
Manager, Swap Dealer Advisor
Capital One, National Association is a CFTC registered Swap Dealer. The Manager will advise our Commercial Banking's Sales & Trading and related Operations teams on applicable CFTC swap regulations and futures exchange rules.
This person will regularly interact with various levels of management and will be looked upon to promote prudent, well-controlled compliance with the applicable laws and regulations. The Compliance Manager will support Commercial Banking through providing expert regulatory advice and thoughtful recommendations that advance the growth business strategy. The Manager will also support internal and external risk reporting related to compliance risk as part of the broader Swap Dealer Compliance Team.
Assisting the SD CCO in administering a Swap Dealer Compliance program
Advising Sales and Trading and related Operations teams on CFTC swap regulations and Designated Contract Market (DCM) rules involving Commodities (energy & metals), Foreign Exchange and Interest Rate derivatives
Performing root cause analysis, applicability and control reviews and risk assessments
Helping maintain written policies and procedures of swaps and exchange-traded futures
Contributing to internal reports (e.g., management committees and the Board)
Working closely with the Legal Department and outside counsel regarding potential and actual changes in CFTC and NFA rules, regulations and interpretive guidance
Leading the implementation of new / amended rules and regulations
Working with Compliance Assurance to ensure compliance testing is appropriate based on the level of risk
Liaising with the Surveillance Team on disposition of alerts related to communications and trading
Assisting with the development and delivery of compliance training
Representing Capital One in industry working groups dedicated to advocacy, interpretation and implementation of new/proposed rules
Assisting with audits and regulatory/DCM inquiries, coordinating collection and review of responses
Conduct ongoing compliance risk assessments and coordinate with business leads to identify and mitigate risks and control gaps
Bachelor's degree or Military Experience.
At least 3 years of Compliance or Audit experience with a Swap Dealer or experience in Compliance or Risk Management at a commodity trading institution
At least 6 years of Compliance or Audit experience
Strong communication skills with the ability to communicate clearly and succinctly on complex topics
Strong work ethic and ability to work with limited supervision in a hybrid environment
Working knowledge of swap dealer requirements within Title VII
Working knowledge of energy and/or metals futures markets and/or related DCM rules (ICE, CME, LME)
Strong organizational skills
At this time, Capital One will not sponsor a new applicant for employment authorization for this position.
The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.
Location is New York City: $142,979 - $168,683 for Compliance Advisor Manager
Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.
This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.
Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.
No agencies please. Capital One is an Equal Opportunity Employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to sex, race, color, age, national origin, religion, physical and mental disability, genetic information, marital status, sexual orientation, gender identity/assignment, citizenship, pregnancy or maternity, protected veteran status, or any other status prohibited by applicable national, federal, state or local law. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections ; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.
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Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).