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Derivatives Documentation and Compliance Specialist

  • Full Time
  • Remote

Website derivativepath Derivative Path, Inc.

About Derivative Path:

Derivative Path is a founder-led, venture-backed firm providing financial technology and advisory solutions to solve complex interest rate, foreign exchange, and commodity transactions. Since launching in 2013, the firm has signed over 150 financial institutions and established itself as the leading capital markets technology firm. In 2020 Derivative Path raised $35 million of growth equity from FTV Capital. The firm won the 2020 and 2021 Risk Management Advisory Firm of the Year in the Americas by Global Capital and the 2021 Top Multi-Asset Trading System of the Year from FOW International. We have 80 employees with offices in the San Francisco Bay Area, New York City, Chicago, and Manila.

We are looking for an ambitious and motivated Derivatives Documentation and Compliance Specialist who will be responsible for facilitating the preparation, negotiation, and execution of all derivatives trading agreements, in addition to providing guidance on compliance with derivatives regulation. This role will be responsible for handling many of the day-to-day compliance responsibilities for the firm, supporting the General Counsel and Chief Compliance Officer.


  • Provide internal and customer compliance support for the interest rate, FX, and commodity derivatives businesses
  • Review ISDA master agreements, CSAs, commercial loan documentation, and related supporting documents to ensure compliance with Dodd-Frank regulations
  • Assist clients with determining Eligible Contract Participant status for end-user customers
  • Manage transactional documentation flow between outside counsel and clients
  • Manage individual and firm registration requirements, including licensing and continuing education
  • Assist with managing, implementing, and updating the firm’s compliance and regulatory policies, procedures, and code of ethics and ensure compliance with applicable state laws and regulations
  • Provide training on compliance-related topics on an as-needed basis
  • Assist with all audits, including providing responses and developing corrective action plans

Minimum Qualifications:

  • A Bachelor’s Degree and a minimum of 5 years regulatory, compliance, operational risk, or legal experience in swap related industry required
  • Working knowledge of ISDA master agreements and other derivatives trading documentation
  • Strong knowledge of NFA and CFTC and Dodd-Frank regulation related to introducing brokers, commodity trading advisors, and swap products
  • Experience in drafting policies, procedures, and other legal documentation
  • Outstanding communication skills, both oral and written
  • Eager to join an entrepreneurial team looking to revolutionize the banking industry with technology and business-friendly solutions

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