VP- Fixed Income Compliance Officer – Securitized Products

Full Time

Financial Services Client

Office Status: Hybrid (3 days per week in office)

Salary: $140,000 – $185,000

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
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