Apply for the Director Fixed Income & Municipal Bond Securities Compliance position
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Broker dealer located in Midtown Manhattan looking to bring on board a “Director Fixed Income & Municipal Bond Securities Compliance” to join their team. This role is currently in a hybrid schedule (3 days in office / week).
Responsibilities:
- Manage Compliance personnel supporting the Fixed Income and Municipal Securities Business lines
- Provide day to day advice across all FI and Municipal Securities Businesses ensuring strategic consistency across desks
- Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
- Support the Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping, control mapping and ongoing compliance assessment process.
- Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
- Draft, update, and implement relevant policies and procedures.
- Provide regulatory/compliance training.
- Assist the business on implementing and documenting various supervisory/control mechanisms.
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
- Interact with federal and state regulators
- Analyze new regulations and conduct business-based analysis and execute requite implementation.
- Provide ongoing reporting to senior management
- Develop and deliver proactive strategies and tactics that support compliance/business objectives