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Fixed Income Compliance – Director Level
at The Compliance Search Group in New York, NY
The candidate will be a senior member in the Fixed Income Currencies & Commodities (''FICC'') Compliance team.
The role in unique in that it will cross over all fixed income lines of business.
FICC Compliance has regulatory/compliance responsibility for a number of institutional product lines in the US, Latin America and Canada including: 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 syndication/trading, distressed debt, commercial real estate, futures, commodities, foreign exchange, money market/repos and RMBS.
Separate teams of FICC Desk Compliance Officers cover each of the above origination and trading desks.
However, given the numerous business areas covered by FICC Compliance, an experienced senior individual is needed to:
-Work with those ''central'' FICC functions and product lines (Sales, Structuring, Central Management, Valuations, etc.) that themselves support the individual trading desks covered by the Desk Compliance Officers.
-Manage some of the many issues that span multiple functions and product lines (e.g., regulatory exams, internal investigations, risk assessments/remediations, regulatory developments, new policies, etc.) as individual Desk Compliance Officers may not have the experience or bandwidth to operate outside of their area(s) of expertise
-Assist Head of FICC Compliance in coordinating the efforts and activities of the Desk Compliance Officers
Responsibilities:
• Identifying regulatory trends and developments, and working to implement any required changes to current policy / practice
• Drafting and updating policies and procedures.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
• Advise on the creation and launch of new products, businesses, vehicles and structures
• Interact with regulatory agencies and exchanges
• Providing regulatory/compliance training as needed.
Level of skills, abilities and knowledge:
• 10-20 years of fixed income legal/regulatory/compliance experience in an investment bank, regulator or law firm.
• Bachelor's degree (legal degree strongly preferred)
• Strong knowledge of applicable FINRA, MSRB, NYSE and federal banking and securities laws, rules and regulations.
• Excellent oral and written communication skills.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor environment
• Strong product knowledge of, and experience working with, the identified Business Areas.
• Ability to project confidence and professionalism in all dealings.
• International experience (especially in Latin America) a plus
• Regulatory experience a plus
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
The role in unique in that it will cross over all fixed income lines of business.
FICC Compliance has regulatory/compliance responsibility for a number of institutional product lines in the US, Latin America and Canada including: 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 syndication/trading, distressed debt, commercial real estate, futures, commodities, foreign exchange, money market/repos and RMBS.
Separate teams of FICC Desk Compliance Officers cover each of the above origination and trading desks.
However, given the numerous business areas covered by FICC Compliance, an experienced senior individual is needed to:
-Work with those ''central'' FICC functions and product lines (Sales, Structuring, Central Management, Valuations, etc.) that themselves support the individual trading desks covered by the Desk Compliance Officers.
-Manage some of the many issues that span multiple functions and product lines (e.g., regulatory exams, internal investigations, risk assessments/remediations, regulatory developments, new policies, etc.) as individual Desk Compliance Officers may not have the experience or bandwidth to operate outside of their area(s) of expertise
-Assist Head of FICC Compliance in coordinating the efforts and activities of the Desk Compliance Officers
Responsibilities:
• Identifying regulatory trends and developments, and working to implement any required changes to current policy / practice
• Drafting and updating policies and procedures.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections
• Advise on the creation and launch of new products, businesses, vehicles and structures
• Interact with regulatory agencies and exchanges
• Providing regulatory/compliance training as needed.
Level of skills, abilities and knowledge:
• 10-20 years of fixed income legal/regulatory/compliance experience in an investment bank, regulator or law firm.
• Bachelor's degree (legal degree strongly preferred)
• Strong knowledge of applicable FINRA, MSRB, NYSE and federal banking and securities laws, rules and regulations.
• Excellent oral and written communication skills.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor environment
• Strong product knowledge of, and experience working with, the identified Business Areas.
• Ability to project confidence and professionalism in all dealings.
• International experience (especially in Latin America) a plus
• Regulatory experience a plus
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 21-06-2010
Viewed: 17 times
Viewed: 17 times