Director – Fixed Income Compliance Officer

2 months ago

New York, United States Madison-Davis, LLC Full time

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. This role is currently in a hybrid schedule (2 days in office).


Responsibilities:


• Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income activities including Primary Dealer and fixed income futures activity.

• Provides advice on regulatory and compliance requirements to business unit management and staff so that they may conduct their business in conformance with regulatory requirements.

• Advises and provides regulatory guidance on establishing a reasonably designed supervisory system including to create and update written supervisory procedures.

• Monitors and provides updates on regulatory changes and supports implementation of new / amended regulatory requirements.

• Conducts monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.

• Proactively engages with Compliance, Legal and control function colleagues to enhance the overall Compliance program.

• Escalates regulatory concerns and other significant matters to their manager and ongoing support as necessary for matters requiring escalation.

• Interfaces with regulators and Internal Audit during compliance related examinations / audits related to coverage area.

• Research and drafts responses to regulatory inquiries.

• Advises on the maintenance of internal policies and procedures with focus on current compliance framework as reference point.

• Coordinate with affiliates to address cross border issues, reporting requests and special projects.

• Seeks operational efficiencies and automation of processes to reduce risk of manual processes.

• Create and deliver compliance training by drafting appropriate training materials and conducting trainings

• Leads / Contributes to various reporting requirements and other ad hoc investigations.

• Work with Global Advisory team and other legal entities in the Americas to lead a coordinated effort throughout the organization.

• Collaborates closely with Compliance team and other supports units to help create and maintain best practice across the Firm.

• Plays a key role in the Compliance risk assessment exercise.

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