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Fixed Income Structured Products – Director/Executive Director
at Jack Kelly in Connecticut
The Fixed Income Structured Products Compliance Officer will be responsible for providing coverage to the Investment Bank’s Structured Products Businesses on both the Sales and Trading.
These businesses include Correlation Trading, Index Trading, Credit Solutions, and Credit, Macro and LATAM Structuring, Exotics and Insurance.
While this role will largely focus on the referenced Fixed Income Structured Products Businesses, the scope of the position extends to other coverage areas within FICC as well.
The ideal candidate will have 5-15 years of relevant compliance experience in the Fixed Income Markets with an emphasis on Structured Products and will possess general knowledge of Fixed Income and general securities laws and regulations, specifically rules regulations and procedures pertaining to developing, marketing and sales of complex structured products.
The role will consist of a combination of advisory work, interpreting and enforcing applicable rules and regulations, the development and implementation of policies and procedures, and the delivery of training. This person will also act as the compliance liaison to the referenced Structured Products Groups, originators, syndicate and sales and trading staff. This individual will also work closely with Fixed Income legal and FI Management on the approval of New Business Initiatives, and Complex Trade Approvals .
• Advisory - responsible for providing primary compliance coverage to the Investment Bank including Correlation Trading, Index Trading, Credit Solutions, and Credit, Macro and LATAM Structuring, Exotics and Insurance Groups.
• Rules and Regulations - responsible for interpreting and enforcing applicable rules and regulations, with emphasis on rules and regulations relating to the development and marketing of complex structured products, marketing materials, suitability, Rule 144a, Regulation S, Rule 15a-6, Reg W, etc.
• Policies and Procedures - identification, assessment, drafting and implementing relevant policies, procedures and processes.
• Supervision – work with FICC management and the FICC Structured Products Groups to ensure that there is an appropriate supervisory framework in place, including current and accurate written supervisory procedures, desk manuals, appropriate supervisory review process, etc.
• Audit, Regulatory Inquiries and Examinations – act as the compliance liaison with Group Internal Audit, Compliance Risk Assessment, regulatory inquiries and examinations, and Central Compliance (e.g. registrations, personal account dealing, outside business activities and monitoring) for the referenced FICC Structured Products Groups.
• Training – conduct a training needs analysis, develop and execute robust training plan to the referenced FICC Structured Products Groups.
• Reporting and escalation – create management reports and escalate significant issues as appropriate.
• Other responsibilities - working with Legal & Compliance colleagues on broader, department-wide initiatives to achieve regional and global objectives. The role will also provide excellent exposure to and the ability to interact with a strong local and global network of compliance officers.
• Knowledge of the broad range of Fixed Income business areas particularly in complex structured products.
• Expertise of the rules, regulations and regulatory regimes under whose umbrella the firm falls, with including rules and regulations relating to the marketing and sales of complex structured products, suitability, information barriers, Section V of the ’33 Act, Rule 10b-5, Regulation M, SEC Rule 14e-5, Rule 144a, Regulation S, Rule 2790 and Rule 15a-6, Reg W, etc.
• 5-15 years of relevant legal or compliance experience
• BS/BA Degree
MBA or Law Degree
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
These businesses include Correlation Trading, Index Trading, Credit Solutions, and Credit, Macro and LATAM Structuring, Exotics and Insurance.
While this role will largely focus on the referenced Fixed Income Structured Products Businesses, the scope of the position extends to other coverage areas within FICC as well.
The ideal candidate will have 5-15 years of relevant compliance experience in the Fixed Income Markets with an emphasis on Structured Products and will possess general knowledge of Fixed Income and general securities laws and regulations, specifically rules regulations and procedures pertaining to developing, marketing and sales of complex structured products.
The role will consist of a combination of advisory work, interpreting and enforcing applicable rules and regulations, the development and implementation of policies and procedures, and the delivery of training. This person will also act as the compliance liaison to the referenced Structured Products Groups, originators, syndicate and sales and trading staff. This individual will also work closely with Fixed Income legal and FI Management on the approval of New Business Initiatives, and Complex Trade Approvals .
• Advisory - responsible for providing primary compliance coverage to the Investment Bank including Correlation Trading, Index Trading, Credit Solutions, and Credit, Macro and LATAM Structuring, Exotics and Insurance Groups.
• Rules and Regulations - responsible for interpreting and enforcing applicable rules and regulations, with emphasis on rules and regulations relating to the development and marketing of complex structured products, marketing materials, suitability, Rule 144a, Regulation S, Rule 15a-6, Reg W, etc.
• Policies and Procedures - identification, assessment, drafting and implementing relevant policies, procedures and processes.
• Supervision – work with FICC management and the FICC Structured Products Groups to ensure that there is an appropriate supervisory framework in place, including current and accurate written supervisory procedures, desk manuals, appropriate supervisory review process, etc.
• Audit, Regulatory Inquiries and Examinations – act as the compliance liaison with Group Internal Audit, Compliance Risk Assessment, regulatory inquiries and examinations, and Central Compliance (e.g. registrations, personal account dealing, outside business activities and monitoring) for the referenced FICC Structured Products Groups.
• Training – conduct a training needs analysis, develop and execute robust training plan to the referenced FICC Structured Products Groups.
• Reporting and escalation – create management reports and escalate significant issues as appropriate.
• Other responsibilities - working with Legal & Compliance colleagues on broader, department-wide initiatives to achieve regional and global objectives. The role will also provide excellent exposure to and the ability to interact with a strong local and global network of compliance officers.
• Knowledge of the broad range of Fixed Income business areas particularly in complex structured products.
• Expertise of the rules, regulations and regulatory regimes under whose umbrella the firm falls, with including rules and regulations relating to the marketing and sales of complex structured products, suitability, information barriers, Section V of the ’33 Act, Rule 10b-5, Regulation M, SEC Rule 14e-5, Rule 144a, Regulation S, Rule 2790 and Rule 15a-6, Reg W, etc.
• 5-15 years of relevant legal or compliance experience
• BS/BA Degree
MBA or Law Degree
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 23-07-2010
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Viewed: 8 times