Sign upLog in

Senior Manager, Compliance Testing Swap Dealer and Derivatives

Madison-Davis

Dallas, TX

Apply
JOB DETAILS
SKILLS
Analysis Skills, Auditing, Brokerage, Capital Markets, Communication Skills, Continuous Improvement, Corrective Action, Derivatives, Documentation, Financial Services, Futures, Global Financial Markets, Insurance Regulations, Internal Audit, International Operations, Investment Services, Leadership, Legal, Maintain Compliance, Mentoring, Multiplatform/Cross-Platform, Multitasking, People Management, Presentation/Verbal Skills, Problem Solving Skills, Process Improvement, Programming Methodologies, Project/Program Management, Quality Assurance Methodology, Regulations, Regulatory Compliance, Regulatory Requirements, Risk, Risk Analysis, Risk Management, Securities, Spanish Language, Strategic Planning, Swap Market, Team Player, Test Plan/Schedule, Testing, Trading/Stockbroking, Writing Skills
LOCATION
Dallas, TX
POSTED
30+ days ago

A global financial institution is seeking an experienced Compliance Testing professional to lead reviews of regulatory compliance programs across derivatives, trading, and capital markets businesses. This role will focus on assessing compliance with regulatory requirements applicable to swap dealer, derivatives, futures, and institutional trading activities while helping strengthen testing methodologies, governance frameworks, and risk oversight programs.

The successful candidate will work closely with Compliance Advisory, Risk, Legal, Audit, and business stakeholders to execute risk-based testing reviews, manage issue remediation efforts, and enhance compliance assurance activities across a global platform.

RESPONSIBILITIES

Compliance Testing & Assurance
  • Lead and execute risk-based compliance testing reviews covering derivatives, swap dealer, futures, and institutional trading activities.
  • Assess adherence to applicable regulatory requirements, internal policies, procedures, and control frameworks.
  • Develop testing scopes, methodologies, work programs, and review procedures designed to identify compliance risks and control weaknesses.
  • Evaluate the effectiveness of key controls and identify opportunities to strengthen compliance frameworks.

Regulatory Risk & Issue Management
  • Identify, document, and escalate potential regulatory issues, control deficiencies, and compliance risks.
  • Prepare detailed testing reports summarizing observations, recommendations, and remediation requirements.
  • Track findings through resolution and validate corrective actions implemented by stakeholders.
  • Support issue management, governance reporting, and ongoing monitoring efforts.

Leadership & Team Oversight
  • Provide guidance, mentorship, and quality review for testing professionals supporting compliance reviews.
  • Act as a primary point of contact for assigned testing engagements and coordinate review activities across stakeholders.
  • Review testing documentation, workpapers, reports, and supporting materials to ensure consistency and quality.
  • Foster a collaborative, high-performance environment focused on continuous improvement and professional development.

Program Development & Governance
  • Partner with Compliance Advisory and Risk teams to develop annual testing plans and risk-based review strategies.
  • Enhance testing methodologies, governance standards, templates, and reporting frameworks.
  • Support compliance program improvements through process optimization and testing innovation.
  • Participate in strategic initiatives related to regulatory compliance, risk management, and control enhancement.

QUALIFICATIONS

QUALIFICATIONS
  • Bachelor's degree required.
  • 5 7+ years of experience within Compliance Testing, Internal Audit, Regulatory Compliance, Regulatory Examination, or Risk Management functions.
  • At least 3 years of experience conducting compliance testing, audit, assurance, or regulatory review activities.
  • Knowledge of capital markets, institutional trading, derivatives, futures, investment banking, or related financial services businesses.
  • Familiarity with regulatory requirements applicable to trading, derivatives, and market activities.
  • Strong analytical, investigative, and problem-solving capabilities.
  • Excellent written and verbal communication skills.
  • Ability to manage multiple projects and priorities simultaneously.

PREFERRED EXPERIENCE
  • Experience supporting swap dealer, futures, derivatives, securities, or broker-dealer compliance programs.
  • Knowledge of regulatory frameworks governing derivatives and institutional trading activities.
  • Experience managing or mentoring testing, audit, or compliance professionals.
  • Background in issue management, remediation validation, or regulatory examination support.
  • Spanish language proficiency is a plus.
  • Experience working within global or multi-jurisdictional financial institutions.

What This Role Offers
  • Direct exposure to complex derivatives, trading, and capital markets businesses.
  • Opportunity to influence regulatory compliance and control effectiveness across global operations.
  • Leadership responsibility within a highly visible compliance assurance function.
  • Involvement in regulatory initiatives, governance enhancements, and strategic compliance projects.
  • Strong career progression opportunities within compliance, audit, risk management, and regulatory oversight.

About the Company

M

Madison-Davis

Resume Resources

Free Resume TemplatesFree Resume Builder