Markets Compliance Fixed Income – Assistant Vice President

Full Time

International Banking Client

Office Status: Hybrid

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
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