Senior Vice President, Fixed Income Compliance Advisory - Credit Products

Senior Vice President, Fixed Income Compliance Advisory - Credit Products About the Company A prominent international wealth management firm and 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 Financial Services Business Classifications B2B About the Role We are looking for an experienced Senior Vice President to join our Fixed Income Compliance Advisory team. In this pivotal role, you will serve as a vital compliance advisor with a primary focus on credit products and US rates. You will provide essential regulatory and compliance guidance on complex sales and trading activities, and act as a subject matter expert on products, regulatory reporting, and broker-dealer operations. Your responsibilities will include collaborating with business partners to enhance systems for monitoring activities related to regulatory risks, identifying and addressing regulatory concerns, and developing training materials on new regulations and initiatives. The ideal candidate will possess a Bachelor's degree, 7-10 years of compliance experience within a trading advisory setting, and a thorough understanding of fixed income products and markets. You should have experience engaging with regulatory authorities, knowledge of cross-border issues, and proficiency in Bloomberg systems. A strong background in FINRA, SEC, and other regulatory requirements is critical to your success in this role. You must be proficient in Excel, Word, and PowerPoint, with a proven record in developing and updating policies and procedures in line with changing regulations. A successful candidate will also demonstrate leadership capabilities by participating in special projects that advance the Compliance Advisory function. Hiring Manager Title US Head of Fixed Income Compliance Travel Percent Less than 10% Functions Finance