Current jobs related to Sr Director, Fixed Income Regulation - New York - finra
-
Compliance Officer
6 days ago
New York, New York, United States Crédit Agricole CIB Limited Full timeJob Title: Compliance Officer (Director) - Fixed IncomeCrédit Agricole CIB Limited is seeking a highly skilled Compliance Officer (Director) - Fixed Income to join our team. As a key member of our Global Markets Division, you will be responsible for ensuring compliance with regulatory requirements and industry standards.Key Responsibilities:Develop and...
-
Compliance Officer
2 days ago
New York, New York, United States Crédit Agricole S.A. Full timeJob Title: Compliance Officer (Director) - Fixed IncomeCrédit Agricole S.A. is seeking a highly skilled Compliance Officer (Director) - Fixed Income to join our team. As a key member of our Global Markets Division, you will be responsible for ensuring compliance with regulatory requirements and industry standards.Key Responsibilities:Develop and implement...
-
Compliance Officer
2 days ago
New York, New York, United States Crédit Agricole CIB Limited Full timeJob Title: Compliance Officer (Director) - Fixed IncomeCrédit Agricole CIB Limited is seeking a highly skilled Compliance Officer (Director) - Fixed Income to join our team. As a key member of our Global Markets Division, you will be responsible for ensuring compliance with regulatory requirements and industry standards.Key Responsibilities:Develop and...
-
Director – Fixed Income Compliance Officer
5 days ago
New York, United States Madison-Davis, LLC Full timeA 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...
-
Director – Fixed Income Compliance Officer
2 months ago
New York, United States Madison-Davis, LLC Full timeA 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...
-
Director – Fixed Income Compliance Officer
3 days ago
new york city, United States Madison-Davis, LLC Full timeA 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...
-
Fixed Income Compliance Officer
4 days ago
New York, New York, United States Sumitomo Mitsui Banking Corporation Full timeJob Title: Fixed Income Compliance OfficerSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history dating back to 1919. As a key player in the financial industry, SMBC offers a wide range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With over 130 offices and...
-
Fixed Income Compliance Officer
1 week ago
New York, New York, United States Sumitomo Mitsui Banking Corporation Full timeJob Title: Fixed Income Compliance OfficerSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history and diverse range of financial services. We are seeking a highly skilled Fixed Income Compliance Officer to join our team in the Americas.The successful candidate will be responsible for providing regulatory and...
-
Fixed Income Compliance Officer
1 week ago
New York, New York, United States Sumitomo Mitsui Banking Corporation Full timeJob Title: Fixed Income Compliance OfficerSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history and diverse range of financial services. We are seeking a highly skilled Fixed Income Compliance Officer to join our team in the Americas.The successful candidate will be responsible for providing regulatory and...
-
Vice President of Fixed Income Compliance
4 weeks ago
New York, New York, United States StoneX Group Full timeOverview:Permanent, full-time onsite position.Connecting clients to markets and talent to opportunity.With a workforce of 4,300 and a client base exceeding 400,000 retail and institutional clients across more than 80 offices worldwide, we are a Fortune-100, Nasdaq-listed organization dedicated to linking clients with global markets through innovation,...
-
New York, New York, United States StoneX Group Inc. Full timeJob Title: Assistant Vice President of Fixed Income ComplianceJoin the StoneX Group Inc. team as an Assistant Vice President of Fixed Income Compliance, where you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.About the Role:This is a full-time, exempt position that requires a strong...
-
Fixed Income Sales Trader
6 days ago
New York, New York, United States Citigroup Inc Full timeJob Title: Fixed Income Sales TraderCiti Global Wealth Investments is seeking a skilled Fixed Income Sales Trader to join our team in New York. As a key member of our Fixed Income Brokerage and Advisory Team for the Americas, you will be responsible for delivering best-in-class fixed income advice, guidance, and execution services to our...
-
Fixed Income Sales Trader
3 weeks ago
New York, New York, United States Citigroup Inc Full timeAbout the RoleCitigroup Inc. is seeking a highly skilled Fixed Income Sales Trader to join our team in New York. As a key member of our Fixed Income Brokerage and Advisory Team, you will be responsible for delivering best-in-class fixed income advice, guidance, and execution services to our clients.Key ResponsibilitiesDevelop and deliver trade ideas and...
-
Fixed Income Sales Trader
2 weeks ago
New York, New York, United States Citigroup Inc Full timeJob Title: Fixed Income Sales TraderCitigroup Inc. is seeking a skilled Fixed Income Sales Trader to join our team in New York. As a key member of our Investments Solutions Capital Markets team, you will be responsible for delivering best-in-class fixed income advice, guidance, and execution services to our clients.Key Responsibilities:Deliver trade ideas...
-
Summer Analyst
2 months ago
New York, United States Rockefeller Financial Full timeAbout Rockefeller Capital Management: Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations...
-
Summer Analyst
11 hours ago
New York, United States Rockefeller Financial Full timeAbout Rockefeller Capital Management: Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations...
-
Fixed Income Brokerage Specialist
3 days ago
New York, New York, United States Citigroup Inc Full timeJob Title: Fixed Income Sales TraderCitigroup Inc. is seeking a highly skilled Fixed Income Sales Trader to join our team in New York. As a key member of our Fixed Income Brokerage team, you will be responsible for delivering best-in-class fixed income advice, guidance, and execution services to our clients.Key Responsibilities:Deliver trade ideas and...
-
Fixed Income Sales Trader
1 week ago
New York, New York, United States Citigroup Inc Full timeJob SummaryCitigroup Inc. is seeking a highly skilled Fixed Income Sales Trader to join our team in New York. As a key member of our Investments Solutions Capital Markets team, you will be responsible for delivering best-in-class fixed income advice, guidance, and execution services to our clients.Key ResponsibilitiesDevelop and deliver trade ideas and...
-
Fixed Income Sales Trader
21 hours ago
New York, New York, United States Citigroup Inc Full timeJob Title: Fixed Income Sales TraderCiti Global Wealth Investments is seeking a skilled Fixed Income Sales Trader to join our team in New York. As a key member of our Fixed Income Brokerage and Advisory Team for the Americas, you will be responsible for delivering best-in-class fixed income advice, guidance, and execution services to our clients.Key...
-
Fixed Income Sales Trader
1 week ago
New York, New York, United States Citigroup Inc Full timeJob SummaryCitigroup Inc. is seeking a highly skilled Fixed Income Sales Trader to join our team in New York. As a key member of our Investments Solutions Capital Markets team, you will be responsible for delivering best-in-class fixed income advice, guidance, and execution services to our clients.Key ResponsibilitiesDeliver trade ideas and investment...
Sr Director, Fixed Income Regulation
4 months ago
Essential Job Functions:
- Leads and manages FINRA’s relationships with other regulatory authorities, including the SEC’s Office of Municipal Securities and MSRB in connection with rulemaking, examination, and enforcement related to municipal securities; and collaborates on rulemaking and policy matters that arise.
- Serves as FINRA’s point of contact for the fixed income industry—particularly municipal securities matters—and provides guidance to, and receives feedback from, members on fixed income matters, including as staff liaison to the FINRA Fixed Income Committee, by maintaining strong working relationships with industry trade associations, and by representing FINRA in internal and external forums.
- Provides key technical guidance in the development of FINRA’s fixed income examination, surveillance, and enforcement policy.
- Serves as a subject matter expert by directing, coordinating, advising, and collaboratively making recommendations regarding course content and training programs for FINRA staff and other regulatory agencies, such as the MSRB and SEC.
- Briefs and communicates complex and sensitive regulatory initiatives to the Senior Vice President, Capital Markets Policy, and other senior executives of FINRA. Demonstrates excellent judgement in advising senior executives on key issues impacting fixed income and municipal securities regulation.
- Designs, develops and delivers fixed income guidance to staff across Regulatory Operations, as well as to member firms, including by ensuring consistency of the application of MSRB, FINRA, and SEC rules with respect to fixed income examination and enforcement matters, creating and implementing examination policies and procedures, and directing the development of data-driven risk assessments and examination processes and techniques.
- Monitors and identifies external and internal fixed income rulemaking and rule amendments, or other regulatory trends or intelligence that affect the national fixed income examination program.
Education/Experience Requirements:
- Bachelor’s degree with a major in Finance, Accounting, Business Administration, or related field preferred and a minimum of ten (10) years of directly related securities industry or regulatory experience required.
- Advanced degree preferred.
- Requires excellent written and verbal communications skills, including interpersonal and presentation skills.
- Highly advanced organizational skills with excellent attention to detail, including an ability to work quickly on multiple time-sensitive matters with a sense of urgency.
- Ability to use MS Office applications (Word, Excel, Outlook) required.
Working Conditions:
- Normal office conditions.
- Occasional travel and extended hours may be required.
- Public speaking and appearing at regulatory conferences are required.
For work that is performed in CA, Washington DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.
California: Minimum Salary $171,900, Maximum Salary $351,200
Washington DC: Minimum Salary $171,900, Maximum Salary $336,600
Colorado/Hawaii: Minimum Salary $149,600, Maximum Salary $292,600
New York, NY: Minimum Salary $179,600, Maximum Salary $351,200
Washington State: Minimum Salary $149,600, Maximum Salary $336,600
#LI-Hybrid
