Executive Director, Fixed Income Compliance Advisory Officer

Full Time

Financial Services Client

Office Status: Remote

Role description:

Seeking a full time motivated, senior fixed income compliance professional with institutional experience in MBS/ABS, credit, treasury and government agency securities. Experience in CFTC Dodd Frank regulations, GSE requirements, and Treasury dealer best practices required. Position currently reports to the Head of Global Markets Compliance.

Skills, experience, qualifications and knowledge required:

  • Provide real-time compliance advice to trading, sales, and corporate functions
  • Collaborate with front office, operations, technology, credit and market risk personnel on a variety of compliance/regulatory issues
  • Develop/enhance/implement compliance policies and procedures
  • Provide guidance to GM with respect to development/enhancement of Global Markets written supervisory procedures
  • Develop/enhance compliance training materials and provide compliance training to Global Markets personnel
  • Provide supervisory training to Global Markets supervisors
  • Collaborate with Global Markets and corporate functions on new business initiatives, process changes, or technology changes
  • Interact with colleagues in researching and responding to regulatory inquiries/examinations


  • Must have 10+ years in fixed income compliance advisory experience
  • Must be a motivated, self-starter who will take initiative and manage special projects to assure timely delivery
  • BS/BA in Economics or Finance required. Master’s degree or MBA in Finance/Economics or JD a plus
  • Must have strong technical, analytical, and communication skills
  • Must have the ability to multi-task and must have strong organizational skills
  • Must be a team player
  • Must have strong leadership skills
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