This job ad has been posted over 40 days ago...
Fixed Income Compliance Officer – Securitized Products
at The Compliance Search Group in New York, NY
Fixed Income Compliance Officer (Associate Director or Director Level) will be responsible for providing advice, training, monitoring and project management in support of the Fixed Income trading, sales and origination functions with specific emphasis in MBS ABS and other securitized products.
The individual will be expected to assist in the compliance coverage of multiple fixed income products with particular emphasis in MBS, ABS and other securitized products.
The candidate must be a team player and possess the skills necessary to build and maintain strong client relationships, to work proactively with the front office, business management, logistics partners and members of the Fixed Income Commodities and Currencies compliance team.
He/she will maintain, enhance and develop relevant compliance related policies and procedures, to identify and deliver relevant training in support of each covered business unit and be able to independently manage and complete complex projects.
Other responsibilities will include developing risk based exception reports and conducting product specific surveillance, keeping abreast of relevant regulatory developments, assessing the impact of proposed, new or amended rules and regulations and summarizing and communicating such to business and compliance management in a clear and concise manner. The individual will also be expected to be an active participant in relevant industry association committees and initiatives (e.g., SIFMA).
Three plus years of fixed income compliance experience or relevant product experience.
Series 7, 63 and 24 licenses a plus.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Jack Kelly | Managing Director | The Compliance Search Group
Direct: 212 997 3166 I Email: jkelly@ComplianceSearch.com
1001 Avenue of the Americas 24th floor, New York, NY 10018
Website: www.ComplianceSearch.com and www.CompliancEX.com
Compliance | Legal | Regulatory | Accounting | Audit | Risk Management | Operational Risk I Counterparty Credit | Financial Controls
The individual will be expected to assist in the compliance coverage of multiple fixed income products with particular emphasis in MBS, ABS and other securitized products.
The candidate must be a team player and possess the skills necessary to build and maintain strong client relationships, to work proactively with the front office, business management, logistics partners and members of the Fixed Income Commodities and Currencies compliance team.
He/she will maintain, enhance and develop relevant compliance related policies and procedures, to identify and deliver relevant training in support of each covered business unit and be able to independently manage and complete complex projects.
Other responsibilities will include developing risk based exception reports and conducting product specific surveillance, keeping abreast of relevant regulatory developments, assessing the impact of proposed, new or amended rules and regulations and summarizing and communicating such to business and compliance management in a clear and concise manner. The individual will also be expected to be an active participant in relevant industry association committees and initiatives (e.g., SIFMA).
Three plus years of fixed income compliance experience or relevant product experience.
Series 7, 63 and 24 licenses a plus.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Jack Kelly | Managing Director | The Compliance Search Group
Direct: 212 997 3166 I Email: jkelly@ComplianceSearch.com
1001 Avenue of the Americas 24th floor, New York, NY 10018
Website: www.ComplianceSearch.com and www.CompliancEX.com
Compliance | Legal | Regulatory | Accounting | Audit | Risk Management | Operational Risk I Counterparty Credit | Financial Controls
Published at 05-03-2010
Viewed: 36 times
Viewed: 36 times