Principal Swap Dealer Compliance Advisor

. Assist the SD CCO in administering a Swap Dealer Compliance program .

Posted 9/25/2026full-timeUnited StatesLead💰 $120,800 - $150,500 per yearWebsite

Key responsibilities & impact

Assist the SD CCO in administering a Swap Dealer Compliance program
Advise Sales and Trading and related Operations teams on CFTC swap regulations and Designated Contract Market rules involving commodities, foreign exchange, and interest rate derivatives
Perform root cause analysis, applicability and control reviews, and risk assessments
Help maintain written policies and procedures for swaps and exchange-traded futures
Contribute to internal reports for management committees and the Board
Work with the Legal Department and outside counsel regarding changes in CFTC and NFA rules, regulations, and interpretive guidance
Work with Compliance Assurance to ensure compliance testing is appropriate based on risk
Liaise with the Surveillance Team on disposition of communications and trading alerts
Assist with development and delivery of compliance training
Represent Capital One in industry working groups concerning advocacy, interpretation, and implementation of new or proposed rules
Assist with audits and regulatory/DCM inquiries, coordinating collection and review of responses
Conduct ongoing compliance risk assessments and coordinate with business leads to identify and mitigate risks and control gaps
Regularly interact with management and provide regulatory advice and recommendations supporting business strategy
Support internal and external compliance risk reporting and recurring Swap Dealer Compliance operational processes, including the SD CCO Annual Report

What you’ll need

Bachelor’s degree or Military experience
At least 3 years of experience in swap dealer, compliance, legal, risk management, or audit within the financial service industries
At least 3 years of experience translating regulatory requirements into operational processes and business solutions
Juris doctor preferred
4+ years of Compliance, Audit, regulatory or line of business risk preferred
Strong communication and stakeholder management skills, with the ability to effectively challenge, influence outcomes and drive execution
Strong work ethic and ability to work with limited supervision in a hybrid environment
Working knowledge of swap dealer requirements within Title VII of the Dodd-Frank Act
Familiarity with OTC swaps (IRS, FX, Commodities) and/or futures contracts
Excellent problem-solving and organizational skills, leveraging AI and emerging technologies to optimize compliance workflows and the ability to manage multiple priorities in a fast-paced environment
At this time, Capital One will not sponsor a new applicant for employment authorization for this position

Comp & perks

Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
Comprehensive, competitive, and inclusive health, financial and other benefits supporting total well-being
Reasonable accommodations for applicants who require them