Fixed Income / Credit Compliance, Director Level
Main Duties
• Provide in-depth knowledge and experience with respect to rules and regulations applicable to assigned business areas.
• Provide appropriate real time support, advice and training to the relevant front office and infrastructure personnel.
• Review, interpret and implement rule proposals and amendments relevant to assigned business areas (including, for example, applicable Dodd Frank regulations).
• Develop and implement appropriate Compliance policies and procedures.
• Develop and execute appropriate verification procedures to confirm compliance with relevant requirements.
• Assist with internal and external exams, audits, inquiries, risk assessments, and similar reviews in relation to assigned business areas.
• Evaluate and provide feedback and signoff on new products and business activities.
• Provide input and guidance with respect to marketing materials and other communications with the public.
• Investigate, develop and implement appropriate action plans in response to customer complaints and regulatory, audit or surveillance findings.
• Assist as appropriate in connection with operational matters relevant to assigned business areas (including, for example, with respect to trade reporting, clearing, settlement, and systems development).
• Assist and advise as appropriate with respect to information barriers and related controls, licensing requirements, supervision, and other related issues.
• Coordinate globally with colleagues in other regions / jurisdictions, and advise and manage issues relating to cross border activities (including, for example, implementation of Exchange Act Rule15a-6).
Requirements
Basic Qualifications:
• Bachelor's degree
• 10+ years of overall experience
• 5+ years of relevant Compliance experience including experience in US laws and regulations applicable to fixed income / credit products
• 3+ years of familiarity working with fixed income / credit products and transactions
Preferred Qualifications:
• Relevant advanced degree in law and / or business / finance (for example, JD and/or MBA).
• Relevant experience outside of Compliance (for example, regulatory, law, finance or audit related experience).
• Relevant financial and professional FINRA licenses and/or other professional qualifications (for example, CPA, CFA).
• Specific experience in fixed income, credit, structuring, treasury, risk and / or portfolio management.
• Strong interpersonal, communication and presentation skills; ability to work effectively with senior managers.
• Excellent time management and efficiency skills; ability to provide high quality service in a timely manner, to manage multiple matters and to prioritize appropriately.
To apply please submit your resume to:
Jack Kelly
JKelly@ComplianceSearch.com
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