AVP, Markets Compliance Fixed Income

Full Time




You will be responsible for implementing and managing the overall compliance program for the credit-related businesses in Bank’s New York office. Bank’s credit business includes the following business lines: credit sales and trading (includes investment grade and high yield), distressed products, and loans. The role may also include cross-training in order to provide back-up coverage for the core rates desks which include governments (including the primary dealer), agencies, municipals, swaps, options, index/exchange traded funds (ETFs) and algo trading.

Job Responsibilities:

  • Extensive experience providing legal and/or compliance coverage to an origination, structuring, sales and/or trading desk at a broker/dealer that makes markets in one or more securitized products (e.g. ABS, CLOs, or CMBS) or structured credit transactions
  • A functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, FINRA, SEC, and broker dealer regulations and US bank regulations
  • Ability to readily analyze complex transactions and assess an array of compliance considerations including information barriers, conflicts of interest, cross-border issues and market conduct/market abuse
  • An understanding of securitized products are how they are traded in the primary and secondary market
  • Ability to provide real-time guidance to the GCT platform on compliance matters including regulatory requirements
  • Ability to identify and escalate relationships or transactions that pose reputational risk to the Bank or create a conflict of interest

Job Requirements:

  • 2-4 years experience
  • Compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm
  • Bachelor’s degree, JD a plus
  • Strong knowledge of SEC and FINRA rules and regulations
  • Ability to project confidence and professionalism in all dealings with business personnel
  • Ability to make, support and defend difficult and complex regulatory/ compliance decisions in fast-paced trading floor environment
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