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Swap Dealer Governance

Job Req ID 21344899 Primary Location New York, New York Job Category Compliance and Control
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Operations Regulatory Control (ORC) is a global team responsible for the delivery and oversight of complex, cross jurisdictional, cross business regulatory reporting (e.g., CAT, MIFID II, EMIR, 15c3-3, CFTC Part 43/45).  The team’s core functions are reporting, change management, quality assurance, client segregation, firm balancing and regulatory engagement. We partner closely with Technology, Compliance, Legal, Risk & Controls and our lines of business to deliver complete and accurate reporting solutions.  Our regulators include but are not limited to SEC, FINRA, CFTC, NFA, Banxico, FCA, ESMA, ASIC, HKMA, MAS and SFC.    

The Director of Swap Dealer Governance will be a member of the ORC management team reporting to the Global Head of Operations Regulatory Control.


  • As central point of contact for all matters pertaining to Swap Dealer the role will provide transparency and insight to ORC management on key issues, dates and interpretative guidance
  • Partner with ORC management and internal stakeholders to assess reporting requirements, industry practices and their impact to Citi 
  • Effectively communicate, advocate and advance ORC priorities internally among stakeholders and externally among industry working groups (e.g., SIFMA, ISDA, ESMA and DTCC)
  • Provide regulators periodic status updates on key initiatives and issues
  • Work with Compliance, Legal, Risk & Controls, Technology, and our lines of business on responses to regulator inquiries and exams
  • Develop and maintain effective partnerships with all Compliance, Legal, Business, Audit, Business Risk and Senior Management on regulatory matters pertaining to Swap dealer.
  • Work with the ORC reporting and change teams to develop a robust control and governance framework to support Dealer.

Experience & Qualifications:

  • Proven track record of operational excellence and leadership
  • Extensive knowledge of swap dealer products, reporting regulations and related market practices
  • Demonstrated understanding of swaps markets infrastructure including SEFs, depositories, and key service providers
  • Strong collaboration skills with a focus on building productive working relationships and networks
  • Executive presence and judgement in communicating and supporting effective discussions and decision making
  • Ability to manage competing priorities simultaneously and effectively
  • Strong work ethic and highly motivated individual with outstanding record of professional achievement.
  • Knowledge of information technology within a large global financial institution including the implementation of reporting requirements
  • 15+ years of financial industry work experience in Product Control, Operations, Middle Office, Legal, Compliance or Finance.  In depth understanding of financial products. Strong knowledge of derivatives required.   


Job Family Group:

Compliance and Control


Job Family:

Business Control


Time Type:

Full time


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