Fixed Income Structured Finance Compliance Officer – VP

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

  • Moderate experience providing legal and 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 GFCT platform on compliance matters including regulatory requirements, a Juris Doctor degree from an accredited institution
Upload your CV/resume or any other relevant file. Max. file size: 2 GB.

Share on
Print