Operations Consultant - Swap Dealer & Introducing Broker Dealer

Location:

Job Summary:

This dual-function role supports both the back-office operations of a registered swap dealer and the middle office operations of an introducing broker. The consultant will drive process improvements, ensure regulatory compliance, and support operational readiness across derivatives and securities workflows. The role requires knowledge of regulatory frameworks, process improvement, and cross-functional coordination.

Key Responsibilities:

• Conduct periodic reviews of regulatory processes to ensure controls are functioning as intended, document any self-identified findings and ensure sustainable remediation plans are put in place.
• Ensure compliance with CFTC and NFA regulations, including trade reporting, position limit monitoring, and recordkeeping.
• Analyze operational processes to identify inefficiencies and recommend process enhancements with measurable results.
• Serve as a liaison between trading desks, compliance, and technology teams to implement operational changes.
• Develop client centric metrics to measure performance.
• Maintain expertise in industry trends, Risk Management, Compliance, and Operations.
• Interpret data mining findings for senior leadership.
• Lead and manage project completion.
• Build strong relationships with internal and external stakeholders.

• Support internal and external audits. (i.e., EY, Internal Audit, FINRA, SEC, NFA, CFTC)

Qualifications:

• Minimum 3 years of experience in financial services, with direct exposure to brokerage and swap dealer operations.
• Strong understanding of introducing broker-dealer models and clearing firm relationships.
• Knowledge of derivatives and foreign exchange regulatory obligations.
• Ability to troubleshoot and solve issues.
• Excellent analytical, organizational, and communication skills.
• Proficiency in Microsoft Excel.

Preferred:

• NFA Swaps Proficiency Requirements and/or FINRA Series 99 a plus.
• Exposure to process improvement methodologies (e.g., Lean, Six Sigma).
• Experience with Calypso and/or NetX360.

Key has implemented a role-based Mobile by Design approach to our employee workspaces, dedicating space to those whose roles require specific workspaces, while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result, this role may be mobile or home based, which means you may work either at a home office or in a Key facility to perform your job duties. Preferred locations include Brooklyn, OH and Amherst, NY. Please note that if you are local to main KeyBank facilities, you may work partially from the office location per management's guidance and expectations.

COMPENSATION AND BENEFITS

This position is eligible to earn a base salary in the range of $68,000.00 to $90,000.00 annually depending on location and job-related factors such as level of experience. Compensation for this role also includes eligibility for short-term incentive compensation.

Please click here for a list of benefits for which this position is eligible.

Key has implemented a role-based Mobile by Design approach to our employee workspaces, dedicating space to those whose roles require specific workspaces, while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result, this role may be Mobile or Home-based, which means you may work primarily either at a home office or in a Key facility to perform your job duties.

Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com.

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