• Key Business Solutions
  • New York , NY
  • Information Technology
  • Full-Time
  • 354 W 31st St

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IT Audit Resource


Initially 3 Months extendable till 12 Months

US citizens and Green Card those authorized to work in the US are encouraged to apply. We are unable to sponsor H1b candidates at this time.

Phone Hire

Job Description:

  • Developing and executing the compliance testing for the following requirements as set forth by the Commodity Exchange Act and the related Commodity Futures Trading Commission rules:
  1. Swap Mandatory Clearing Standards (CFTC Rules 50.2, 50.4, 50.10, 50.25, 50.50, 50.51, CEA Section 2 (h)(1 & 7), CFTC Letter No 13-22, CFTC No-Action Letter No. 14-135)
  2. Position Limits (CFTC 23.601)
  3. Segregation of Collateral for Uncleared Swaps (CFTC Rules 23.701, 23.703 , 23.704 and CFTC Letter No. 12-132).
  • Reviewing CFTC regulations and CEA requirements to ensure alignment with company policies and procedures.
  • Creating and developing risk and control matrix's for documenting inherit risks, controls, and control test plans for effectiveness for the aforementioned CEA and CFTC rules.
  • Reviewing clients policies and procedures, conducting interviews with the business units and creating process flow charts.
  • Developing and maintaining 2nd LOD testing work papers (e.g. testing results, identifying exceptions and making recommendations for process improvements).
  • Ensuring client deliverables meet with internal Quality & Risk Management expectations.
  • Candidate must have markets experience (eg. Swap Dealer).


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- provided by Dice

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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