VP, Fixed Income Sales & Trading Investment Bank Compliance Officer

Full Time

International Bank

Office Status: Hybrid

Your Key Responsibilities:

  • Provide real-time advisory services to the FIC Sales & Trading businesses; identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
  • Advise business areas on firm policies and procedures and applicable securities laws and regulations; draft, update, and implement relevant policies and procedures
  • Provide regulatory/compliance training; assist the business in implementing and documenting various supervisory/control mechanisms
  • Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections; interact with federal and state regulators
  • Support the global Compliance Monitoring Program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan
  • Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the business to ensure effective business control framework

Your Skills and Experience:

  • Bachelors Degree or equivalent; JD or MBA a plus
  • Moderate securities experience, preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered
  • Familiarity with Fixed Income (including FX, Credit and Rates) products
  • 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; knowledge of SEC and FINRA laws, rules and regulations as well as industry best practice
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