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Head of Swap Dealer Compliance Testing

  • Location: New York
  • Salary: $190,000 base + Bonus
  • Job type: Permanent
  • Job reference: 172394
  • Sector: Banking , other Financial Services
Job Description

Barclay Simpson are representing the Global Director of Compliance Monitoring of a prestigious top-tier Investment Bank, who is seeking to recruit a Head of Compliance Testing who will lead a team and own the monitoring, testing and assurance function for the firms Swap Dealer.


Key Duties

  • Planning, and executing the compliance monitoring and testing function for the Swap Dealer
  • Provide assurance to Monitoring and Testing activities as well as ensuring the efficacy of reporting programs
  • Ensuring appropriate remedial action is taken from testing results
  • Develop effective relationships with key stakeholders across the business including Compliance and Audit


  • Minimum 12 years’ Compliance Testing experience gained in a large top-tier bank
  • Minimum 5 years Swap Dealer Compliance experience
  • Strong knowledge of the regulations governing Swap Dealers
  • Excellent verbal and written communication skills
  • Strong relationship and influencing skills
  • Ability to work in a fast-paced environment managing multiple stakeholders and conflicting deadlines


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