Vice President, Trade Floor Supervision - Commoditites Not right for you? We've got others

New York, NY
September 15th 2021
Minimum Degree:
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Vice President, Trade Floor Supervision – Commodities

New York, NY

Trade Floor Supervision is part of the overall Business Unit Compliance Organization and is specifically responsible for the monitoring of trade floor activities and ensuring these activities adhere to all applicable regulations. This is done through the utilization of various tools including daily checklists, transaction reviews, risk assessments and attestations.



Working jointly with the Managing Director, Trade Floor Supervision and the Director, Business Unit Compliance of the Swap Dealer/Commodities, the Vice President will be responsible for the monitoring and supervision of the Commodities Products Group to ensure the business is operating in accordance with regulatory requirements, specifically, the CFTC, NFA, NYMEX, COMEX, ICE Futures, CME, Montreal Bourse Rules, FRB, OSFI, etc.

The Business Unit Compliance Officer (BUCO) is responsible to understand and interpret such rules and to establish reports and surveillance, validate activity, and document observations and results.  The candidate must use judgement and recognize when to escalate activity that appears to be outside the boundaries of compliance with such regulatory requirements. Product lines may include but are not limited to: Energy Swaps, Futures, Options, Metals and Foreign Exchange.

Additional accountabilities will include a robust understanding of Position Limits, CFTC Large Swap Trader Reporting Rules, 102S Filing, Portfolio Compression Exercises, Swap Data Reporting, Swap Execution Facilities, MAT products and the regulatory obligations associated with the Commodity Trading Desk and the development and/or maintenance of a first line of defense for Market Behavior and Prohibited Trade Practices.

The BUCO is also accountable for helping to promote an inherent culture of compliance across Capital Markets so that resources may be committed toward proactive rather than reactive gap analysis.

The BUCO will work closely with the Line of Business in this delegated function as well as with the other members of Fixed Income, Currency, Commodities (FICC) TFS and 2nd line Compliance partners, to support adherence to all applicable regulations.

The BUCO will be expected to:


The BUCO, U.S. Trade Floor Supervision, will have the following authorities:



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