Madison-Davis, LLC
Senior Vice President, Fixed Income Regulatory Strategy
Madison-Davis, LLC, New York, New York, us, 10261
Senior Vice President, Fixed Income Regulatory Strategy
A broker-dealer based in Midtown Manhattan, is currently seeking to add an "Senior Vice President, Fixed Income Regulatory Strategy" to their team. This position reports directly to the U.S. Head of Fixed Income and follows a hybrid work model (3 days in-office per week).
Base pay range: $250,000.00/yr - $300,000.00/yr
This role focuses on providing regulatory guidance and ensuring compliance for fixed income products and activities.
Responsibilities
Provide regulatory and compliance guidance to business stakeholders on complex sales and trading matters, with a focus on credit products (Investment Grade, High Yield, and Emerging Markets).
Serve as a subject matter expert on regulatory reporting, broker-dealer operations, and applicable securities laws and rules.
Collaborate with partners across Surveillance, IT, and Operations to enhance systems, tools, and processes for monitoring business activity and identifying regulatory risks.
Assess existing procedures, conduct gap analyses, and implement solutions to ensure adherence to current regulatory requirements.
Monitor business activities and escalate issues that may pose a regulatory or reputational risk to the firm.
Develop and deliver training on new regulations, policy changes, and compliance initiatives.
Draft, review, and update compliance policies and procedures to reflect evolving rules and internal standards.
Participate in internal governance forums as well as relevant industry committees and working groups.
Respond to regulatory exams, inquiries, and audits, and assist in the development and implementation of remediation plans.
Lead and contribute to special projects as needed.
Seniority
Mid-Senior level
Employment type
Full-time
Job function
Finance
Industries
Financial Services and Banking
Notes: This description retains the core responsibilities and structure while removing unrelated postings and excessive boilerplate. EEO statements and legal notices from the original have been removed as they were not present in this sanitized excerpt.
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Base pay range: $250,000.00/yr - $300,000.00/yr
This role focuses on providing regulatory guidance and ensuring compliance for fixed income products and activities.
Responsibilities
Provide regulatory and compliance guidance to business stakeholders on complex sales and trading matters, with a focus on credit products (Investment Grade, High Yield, and Emerging Markets).
Serve as a subject matter expert on regulatory reporting, broker-dealer operations, and applicable securities laws and rules.
Collaborate with partners across Surveillance, IT, and Operations to enhance systems, tools, and processes for monitoring business activity and identifying regulatory risks.
Assess existing procedures, conduct gap analyses, and implement solutions to ensure adherence to current regulatory requirements.
Monitor business activities and escalate issues that may pose a regulatory or reputational risk to the firm.
Develop and deliver training on new regulations, policy changes, and compliance initiatives.
Draft, review, and update compliance policies and procedures to reflect evolving rules and internal standards.
Participate in internal governance forums as well as relevant industry committees and working groups.
Respond to regulatory exams, inquiries, and audits, and assist in the development and implementation of remediation plans.
Lead and contribute to special projects as needed.
Seniority
Mid-Senior level
Employment type
Full-time
Job function
Finance
Industries
Financial Services and Banking
Notes: This description retains the core responsibilities and structure while removing unrelated postings and excessive boilerplate. EEO statements and legal notices from the original have been removed as they were not present in this sanitized excerpt.
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