Confidential
SVP, Fixed Income Compliance Advisory - Credit
About the Company
Well-known international wealth management firm & investment bank
Industry
Investment Banking/Venture
Type
Subsidiary of a Public Company
Founded
1962
Employees
5001-10,000
Categories
Wealth Management
Banking
Investment Banking
Consulting & Professional Services
Finance
Securities
Brokerage
Investing
Specialties
investment banking
fixed income
equities
research & strategy
wealth management
and financial services
Business Classifications
B2B
About the Role
The Company is seeking a Senior Vice President for a Fixed Income Compliance Officer role. The successful candidate will be a key business and product compliance advisor within the Fixed Income Compliance Advisory Group, with a primary focus on credit products and US rates. Responsibilities include providing regulatory and compliance guidance on complex sales and trading matters, serving as a subject matter expert on products, regulatory reporting, and broker-dealer operations, and working with business partners to develop and enhance systems to monitor business activities for regulatory risks. The role also involves recognizing and addressing regulatory risks, monitoring business activities, and designing training materials on new rules and regulatory initiatives. Applicants must have a Bachelor's degree, 7-10 years of compliance experience in a trading advisory capacity, and extensive knowledge of fixed income products and markets. Experience in engaging with regulatory authorities, an in-depth understanding of cross-border issues, and a working knowledge of Bloomberg are essential. The role requires a candidate with a strong background in FINRA, SEC, and other regulatory rules and regulations, and proficiency in Excel, Word, and PowerPoint. The ideal candidate will be adept at developing and revising policies and procedures to align with evolving regulations and will have a proven track record of leading and participating in special projects.
Hiring Manager Title
US Head of Fixed Income Compliance
Travel Percent
Less than 10%
Functions
Finance