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Job ID Number: 1262792507
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Trading Desk/Fixed Income |
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| Job Title: |
Senior Fixed Income Compliance Trading Floor |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Investment bank seeks a senior level Fixed Income Compliance professional for their trading floor.
Responsibilities:
The person performing this senior trading desk advisory position will be responsible for implementing and managing the overall compliance program for the following business areas:
institutional fixed income sales, fixed income bond trading, fixed income derivative trading, structured products, municipal securities/derivatives, emerging markets (debt products), asset-backed securities, debt capital markets, loan products, distressed debt, commercial real estate, money/market repos and RMBS.
He/she will also be responsible for the following:
• Designing, implementing and managing the compliance programs for the above-referenced divisions in a manner designed to meet regulatory requirements and industry best practices.
• Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities, and working with supervisors to implement any required changes to current policy / practice.
• Drafting and updating policies and procedures.
• Managing junior staff.
• Participating in internal investigations, responding to regulatory inquiries, and coordinating internal and external audits and inspections.
• Advising on creation and launch of new products, businesses, vehicles and structures
• Providing transaction-specific advice and guidance
• Interacting with regulatory agencies and exchanges.
• Providing regulatory/compliance training as needed.
Level of skills, abilities and knowledge:
• 10-15 years of fixed income legal/regulatory/compliance experience, preferably in an investment bank or law firm
• Bachelor’s degree (JD strongly preferred)
• Significant management experience
• Strong knowledge of applicable FINRA, MSRB, NYSE and federal securities laws, rules and regulations
Please email resumes to Jack Kelly - JKelly@ComplianceSearch.com
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