SVP Fixed Income Compliance Advisory - Credit
SVP Fixed Income Compliance Advisory - Credit
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$ 175000 - 250000
1 Vacancy
Job Description
Job Title: Fixed Income Compliance Officer
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 primary coverage of Credit products and US Rates.
Responsibilities:
This position is based in New York City in the Fixed Income Compliance Advisory Group and will be primarily responsible for the following:
- Offer regulatory and compliance guidance to business partners on intricate sales and trading matters particularly those related to credit products such as Investment Grade High Yield and Emerging Markets.
- Serve as a subject matter expert on products regulatory reporting and brokerdealer operations by maintaining proficient knowledge of applicable functions securities laws and regulatory rules.
- Working with business partners (i.e. Surveillance IT Operations etc. to develop and enhance systems tools reports and processes to monitor business activities identify regulatory risk.
- Recognizes and addresses regulatory risks by evaluating current procedures conducting gap analyses and ensuring compliance with uptodate regulatory requirements.
- Monitoring the business activities and timely escalating any issues that put the firm at risk.
- Design and present training material regarding new rules rule changes regulatory initiatives and firm policies.
- Developing and revising policies and procedures to stay aligned with evolving regulations rule amendments and firm policies.
- Actively participate on internal governance committees and industry committees and 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
- 710 yearsofcompliance experience in a trading advisory capacity
- Extensive knowledge of the fixed income products and markets.
- Experience engaging with regulatory authorities
- In depth 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 $175000 $250000
Required Experience:
Senior Exec
Employment Type
Full-Time
