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Senior Compliance Officer (Director) – Fixed Income (Rates)
at The Compliance Search Group in New York, NY
Senior Compliance Officer (Director) – Fixed Income (Rates)
Global Markets (Rates)
Investment bank seeks a Senior Compliance Officer to focus on their Rates business area. This division is one of the world's most active traders of fixed income securities and OTC derivatives. It trades products from government bonds, to tailor-made five factor correlation products.
• The overall scope of the position is to work proactively with Rates management in providing accurate and timely regulatory and compliance advice to facilitate the growth of the business and the overall success of the firm in accordance with external rules and regulations and internal policy.
• Guidance may be provided on a one-off basis, or through developing compliance and desk policies and procedures.
Responsibilities:
• Identifying regulatory trends and developments, advising the Rates business area as to how this may impact their current activities, and what changes (if any) would be advisable.
• Providing advice in connection with, and assisting in the documentation of, the various supervisory and control mechanisms that the securities or banking regulators would require in connection with persons performing specific regulated activities.
• Providing regulatory/compliance guidance and approvals with respect to new products or services offered by Rates.
• Providing support and guidance regarding the US Treasury Auctions process, and the related procedures and controls.
• Educating on, and assisting the Rates business area in complying with, the terms and conditions of the various underwriting agreements between the firm and Government Sponsored Entities.
• Providing support and guidance regarding the firm's municipal securities and derivatives businesses, and the related procedures and controls.
• Participating in internal investigations, responding to regulatory inquiries, and coordinating internal and external audits and inspections.
• In conjunction with Legal, providing regulatory advice relating to agreements to be entered into with affiliates, counterparties or issuers, such as “broker” agreements, distribution agreements, service level agreements, etc.
• Advising on political contribution and lobbying issues impacting the firm's business with governmental agencies and local authorities.
• Lobbying and liaising with regulators and industry groups with regard to proposed rule making and other relevant matters.
Level of skills, abilities and knowledge:
• 10+ years of fixed income legal/regulatory/compliance experience in an investment bank, regulator or law firm.
• Bachelor's Degree (legal degree a plus)
• Significant experience in providing legal/regulatory/compliance support to government, agency and municipal securities/derivatives businesses
• Strong knowledge of applicable FINRA, MSRB and federal banking and securities laws, rules and regulations.
• Excellent oral and written communication skills.
• Experience in rules/regulations relating to political contributions, gifts/gratuities, and lobbyist activities, strongly preferred.
• Ability to project confidence and professionalism in all dealings.
Please email resumes to Jack Kelly – jkelly@ComplianceSearch.com
Global Markets (Rates)
Investment bank seeks a Senior Compliance Officer to focus on their Rates business area. This division is one of the world's most active traders of fixed income securities and OTC derivatives. It trades products from government bonds, to tailor-made five factor correlation products.
• The overall scope of the position is to work proactively with Rates management in providing accurate and timely regulatory and compliance advice to facilitate the growth of the business and the overall success of the firm in accordance with external rules and regulations and internal policy.
• Guidance may be provided on a one-off basis, or through developing compliance and desk policies and procedures.
Responsibilities:
• Identifying regulatory trends and developments, advising the Rates business area as to how this may impact their current activities, and what changes (if any) would be advisable.
• Providing advice in connection with, and assisting in the documentation of, the various supervisory and control mechanisms that the securities or banking regulators would require in connection with persons performing specific regulated activities.
• Providing regulatory/compliance guidance and approvals with respect to new products or services offered by Rates.
• Providing support and guidance regarding the US Treasury Auctions process, and the related procedures and controls.
• Educating on, and assisting the Rates business area in complying with, the terms and conditions of the various underwriting agreements between the firm and Government Sponsored Entities.
• Providing support and guidance regarding the firm's municipal securities and derivatives businesses, and the related procedures and controls.
• Participating in internal investigations, responding to regulatory inquiries, and coordinating internal and external audits and inspections.
• In conjunction with Legal, providing regulatory advice relating to agreements to be entered into with affiliates, counterparties or issuers, such as “broker” agreements, distribution agreements, service level agreements, etc.
• Advising on political contribution and lobbying issues impacting the firm's business with governmental agencies and local authorities.
• Lobbying and liaising with regulators and industry groups with regard to proposed rule making and other relevant matters.
Level of skills, abilities and knowledge:
• 10+ years of fixed income legal/regulatory/compliance experience in an investment bank, regulator or law firm.
• Bachelor's Degree (legal degree a plus)
• Significant experience in providing legal/regulatory/compliance support to government, agency and municipal securities/derivatives businesses
• Strong knowledge of applicable FINRA, MSRB and federal banking and securities laws, rules and regulations.
• Excellent oral and written communication skills.
• Experience in rules/regulations relating to political contributions, gifts/gratuities, and lobbyist activities, strongly preferred.
• Ability to project confidence and professionalism in all dealings.
Please email resumes to Jack Kelly – jkelly@ComplianceSearch.com
Published at 05-03-2010
Viewed: 38 times
Viewed: 38 times