Operations Consultant - Swap Dealer
Company: VirtualVocations
Location: Vista
Posted on: May 21, 2025
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Job Description:
A company is looking for an Operations Consultant - Swap Dealer
& Introducing Broker Dealer.
Key Responsibilities:
Conduct periodic reviews of regulatory processes to ensure controls
are functioning and implement remediation plans
Ensure compliance with CFTC and NFA regulations, including trade
reporting and recordkeeping
Analyze operational processes to identify inefficiencies and
recommend measurable enhancements
Qualifications:
Minimum 3 years of experience in financial services with exposure
to brokerage and swap dealer operations
Strong understanding of introducing broker-dealer models and
clearing firm relationships
Knowledge of derivatives and foreign exchange regulatory
obligations
Proficiency in Microsoft Excel
Experience with process improvement methodologies is preferred
Keywords: VirtualVocations, Los Angeles , Operations Consultant - Swap Dealer, Professions , Vista, California
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Click
here to apply!
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