VP, Fixed Income Compliance Officer (Securitized Products)

Full Time

Investment Banking Client

Office Status: Hybrid

Position Description

This individual will provide advisory compliance support for the Securitized Products Sales & Trading, Origination and Lending businesses. Candidate will be expected to provide advice on FINRA, CFTC, Federal Reserve, OCC and SEC rules, regulations, and interpretive guidance, as well as applicable internal policies and procedures. Candidate must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision. Candidate should be proficient in time management and able to initiate and manage projects. Candidate may have managerial responsibilities, which may include supervision of other members of the FID Compliance team.

Job Responsibilities

  • Provide Compliance support for the Securitized Products Sales & Trading, Origination and Lending desks, as well as related support functions
  • Communicate with senior business management, risk management and Sales & Trading desk personnel regularly and address issues on a real-time basis
  • Actively monitor regulatory developments and trends, participate in industry forums to address new rule proposals, and take appropriate action to ensure the business unit understands and complies with new or amended regulations, including updates to desk policies and procedures and training
  • Assist other control functions in the maintenance of written supervisory procedures
  • Interact with operations and technology support to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation
  • Assist in regulatory reviews, audits, and other examinations
  • Develop policies, procedures, and training


  • Minimum 6-10 years of fixed income compliance or legal experience
  • In-depth understanding of Securitized Products suite including agency and non-agency securities (ABS, RMBS, CMBS, CLO, CMO), swaps and security-based swaps, residential mortgage loan trading and securitization, commercial mortgage origination and securitization and consumer loans
  • Detailed knowledge of broker-dealer regulatory compliance including FINRA, CFTC and SEC regulations
  • Excellent communication skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel
  • Strong organization skills with the ability to multitask and prioritize
  • Bachelor’s Degree
  • J.D. (optional)
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