VP, Fixed Income Compliance

Full Time

International Bank

Office Status: Hybrid

Your Key Responsibilities:

  • Develop and enhance compliance policies and procedures and coordinate with global colleagues in developing global standards
  • Assist with the establishment of an appropriate control framework tailored to the activities of the specific core rates & municipals and flow credit business lines
  • Analyze proposed and enacted regulations and determine impact to supported fixed income business lines
  • Conduct periodic risk assessments of the core rates & municipals and flow credit business lines and their control frameworks
  • Develop and deliver compliance training on appropriate topics

Your Skills and Experience:

  • Relevant experience providing compliance or legal coverage to a sales or trading desk at a broker/dealer working on or providing trade/sales support to such a desk
  • Functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, FINRA, SEC, broker dealer regulations and other relevant bank regulations
  • A detailed understanding of how securitized products are traded (knowledge of front-office trading applications and TRACE report requirements)
  • Ability to provide real-time guidance to the core rates & municipals and flow credit platforms on compliance matters including regulatory requirements as well as 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
  • A JD degree from an accredited institution is required, as well as the ability to identify and escalate relationships or trades which pose reputational risk to the Bank or create a conflict of interest
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