SVP Fixed Income Compliance Advisory - E-Trading
SVP Fixed Income Compliance Advisory - E-Trading
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$ 200000 - 275000
1 Vacancy
Job Description
SVP Fixed Income Compliance Advisory
Level: SeniorVice President
Reporting to: US Head of Fixed Income Compliance
Job Description:
The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Groupwith ETrading and Credit products.
Responsibilities:
The desired candidate has senior level experience providing compliance advisory supportfor Sales and Trading across all Fixed Income products with a special focus on Electronic Trading:
- Providing regulatory and compliance advice to business partners about complex sales and trading issues with a focus on Credit ETrading Investment Grade High Yield and Emerging Markets
- Deep knowledge of the fixed income market structure along with insights into how evolving dynamics have influenced business operations and heightened regulatory oversight.
- Familiarity with various ETrading platforms and contribution to the development of systems and tools for monitoring activity (e.g. Bloomberg MarketAxess Tradeweb Tumid etc..
- Working with business partners (i.e. Surveillance IT Operations etc. to develop and enhance systems tools reports and processes to monitor business activities.
- Recognizes the growing shift of fixed income trading towards electronic markets and the associated risks involved in this transition.
- Design and present training material regarding new rules rule changes regulatory initiatives and firm policies.
- Creating and updating policies and procedures to keep pace with new regulations and rule changes.
- Actively participate on internal governance committees and industry working groups.
- Responding to examination requests regulatory inquiries and audit requests in addition to developing remediation plans for any identified exceptions.
- Lead and participate on special projects.
Required Background/ Desired Experience & Skills:
- Bachelors degree
- 1012 yearsofcompliance experience preferably in a trading advisory capacity
- Ability to work in a fastpaced dynamic environment
- Ability to identify regulatory risks and escalate to managers
- Experience engaging with regulatory authorities
- Understanding of crossborder issues
- Working knowledge of Bloomberg
- Knowledge of FINRA SEC and other regulatory rules and regulations
- Fluent in Excel Word and PowerPoint
Primary Location Full Time Salary Range of $200000 $275000
Required Experience:
Senior Exec
Employment Type
Full-Time
