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Financial Services Client

Associate/VP – Compliance Advisory Officer

  • Stamford, CT
  • Full Time

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Office Status: Hybrid (3 days per week in office)

Salary: $175,000

Responsibilities:

  • Provide guidance on rules and regulations relating to the business, supporting functions, product issues, as well as, provide transactional approvals and interpretation of compliance policies.
  • Provide subject matter expertise on rules and regulations pertaining to fixed income sales and trading including but not limited to CFTC Swap Dealer Rules, TRACE Reporting, Primary Dealer Rules, and FINRA rules.
  • Assist with regulatory inquiries and examinations. This may include coordination with Legal, Regulatory Affairs, other departments within the firm and regulators.
  • Collaborate with internal stakeholders such as legal, business risk management, operations, finance and other control functions to address compliance issues which may impact the function, business, or product.
  • Support the function or business in performing reviews of new or substantially changed products and/or services.
  • Assist in the development, administration and delivery of compliance training for sales and trading.
  • Research any new laws, rules or regulations and implementing policies, procedures or other controls necessary to comply with the rules.
  • Perform additional duties as required.