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Dodd Frank Compliance Jobs (NOW HIRING)

FalconX

Compliance Officer, Swap Dealer

New York, NY

$132K - $167K/yr

Ensure compliance with relevant regulations such as the Dodd-Frank Act, Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) regulations, National Futures ...

Collabera

Compliance Specialist

New York, NY

JD a plus Project management skills desirable Working understanding of Title VII of the Dodd-Frank ... compliance decisions in a fast-paced trading floor environment Securities and/or futures licenses ...

FalconX

Compliance Officer, Swap Dealer

New York, NY · On-site

$132K - $167K/yr

Ensure compliance with relevant regulations such as the Dodd-Frank Act, Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) regulations, National Futures ...

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How much do dodd frank compliance jobs pay per year?

As of Aug 8, 2026, the average yearly pay for dodd frank compliance in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What skills and qualifications are needed for Dodd Frank Compliance?

To thrive in a Dodd Frank Compliance role, you need strong knowledge of regulatory compliance, financial regulations, and risk management, often supported by a degree in finance, law, or a related field. Familiarity with compliance management systems, reporting tools, and relevant certifications such as CAMS or CRCM is highly valued. Analytical thinking, attention to detail, and effective communication are standout soft skills for this position. These skills and qualifications are crucial to ensure accurate adherence to complex regulatory requirements and to help financial institutions avoid costly penalties.

What does a Dodd Frank Compliance professional do?

Professionals in Dodd Frank Compliance roles are responsible for monitoring and ensuring adherence to Dodd-Frank regulations, conducting compliance reviews, and maintaining thorough documentation. They often work closely with legal, audit, and risk management teams to interpret regulatory updates and implement necessary changes in company policies or procedures. Additional tasks may include training staff on compliance matters, preparing regulatory filings, and responding to inquiries from regulatory agencies. The role requires staying up-to-date on evolving laws and proactively identifying areas of risk or non-compliance.

Is Dodd Frank Compliance a stressful job?

Dodd Frank Compliance professionals often work in regulated environments that require attention to detail and adherence to strict guidelines, which can be demanding. The job may involve tight deadlines, complex regulations, and the need for ongoing training, contributing to a potentially stressful workload. However, it also offers opportunities for career growth and specialization in financial regulation.

What is a Dodd Frank Compliance?

A Dodd-Frank Compliance job involves ensuring that financial institutions adhere to the regulations set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act. Professionals in this role monitor regulatory changes, develop compliance programs, and assess risks to ensure legal and ethical financial practices. They may also conduct audits, file necessary reports, and provide training to employees on compliance requirements. Their goal is to prevent fraud, promote transparency, and protect consumers while ensuring the company’s operations align with regulatory standards.

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What are the most commonly searched types of Dodd Frank Compliance jobs? The most popular types of Dodd Frank Compliance jobs are:
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Dodd Frank Compliance jobs near you
Infographic showing various Dodd Frank Compliance job openings in the United States as of August 2026, with employment types broken down into 85% Full Time, 2% Temporary, and 13% Contract. Highlights an 90% In-person, 6% Hybrid, and 4% Remote job distribution, with an average salary of $98,949 per year, or $47.6 per hour.

Compliance Officer, Swap Dealer

FalconX

New York, NY

$132K - $167K/yr

Full-time

Posted 5 days ago

Job description

Job Summary:

The Compliance Officer for the Swap Dealer & Security-Based Swap Dealer is responsible for ensuring that the organization adheres to all regulatory requirements and industry standards related to swap dealing activities in swaps and security-based swaps. This role involves developing and implementing compliance strategies, conducting risk assessments, and fostering a culture of integrity and ethical conduct within the swap dealer operations.

Key Responsibilities:
  • Regulatory Compliance: Ensure compliance with relevant regulations such as the Dodd-Frank Act, Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) regulations, National Futures Association (NFA) rules, and other applicable laws governing swap dealers.
  • Policy Development: Develop, review, and update compliance policies and procedures specific to swap dealing activities to ensure they reflect current legal and regulatory requirements.
  • Risk Assessment: Conduct regular risk assessments focused on swap dealing operations to identify potential compliance risks and develop mitigation strategies.
  • Training and Education: Design specialized compliance training programs for employees involved in swap dealing to promote awareness and understanding of compliance obligations.
  • Monitoring and Auditing/Testing: Assist with compliance monitoring and auditing/testing  processes specific to swap transactions to ensure adherence to policies and procedures.
  • Reporting and Documentation: Prepare and present detailed compliance reports related to swap dealing activities for senior management and the board of directors. Maintain accurate records of compliance activities and investigations.
  • Investigation and Resolution: Lead investigations into compliance violations or breaches within the swap dealer operations and recommend corrective actions. Collaborate with legal and other departments as necessary.
  • Stakeholder Engagement: Build and maintain relationships with key stakeholders to facilitate compliance efforts.
  • Continuous Improvement: Identify opportunities for process improvements and implement best practices in compliance management specific to swap dealing.
Qualifications:
  • Education: Bachelor's degree in Law, Business Administration, Finance, or a related field. A Master's degree or professional certification is a plus.
  • Experience: Minimum of 5-8 years of experience in compliance, legal, or a related field within a swap dealer or financial services environment.
  • Knowledge: In-depth knowledge of swap dealer regulations, including the Dodd-Frank Act, CFTC and SEC regulations and NFA rules. Experience in derivatives trading or a similar regulated industry is highly desirable.

Skills:

  • Strong analytical and problem-solving skills.
  • Excellent communication and interpersonal skills.
  • Ability to manage multiple projects and meet deadlines.
  • Proficiency in compliance software and tools.
  • High ethical standards and integrity.
  • Detail-oriented with strong organizational skills.
  • Ability to work independently and as part of a team.
  • Proactive and adaptable to change.

The base pay for this role is expected to be between $132,000 - $167,000 in the New York City Area. This expected base pay range is based on information at the time this post was generated. This role will also be eligible for other forms of compensation such as a performance linked bonus, equity, and a competitive benefits package. Actual compensation for a successful candidate will be determined based on a number of factors such as location, skillset, experience, qualifications and the level at which the candidate is hired.

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