Head of Fixed Income Compliance Advisory
Our client, a Global Financial Institution is looking for a Head of Fixed Income Compliance Advisory to provide support and guidance to their Fixed Income, Currency and Commodities business. The individual would help to support and lead the compliance function in identifying and mitigating risks across the FICC business and help promote a proactive compliance culture within the firm.
Duties Include:
- Manage a team responsible for providing floor-based advisory compliance support to the FICC trading, sales and distribution business.
- Develop and maintain compliance knowledge of current and future regulatory issues that affects the FICC business.
- Deal with issues and queries arising, review and sign-off new business proposals.
- Develop training material to be delivered across the FICC business to ensure that stuff complies with local regulatory rules and regulatory changes.
- Support the business in its management of Fixed Income Compliance.
- Identify the regulatory issues impacting transaction authorisation, structuring, execution and marketing with the provision of potential solutions and alternatives.
- Building and maintaining effective business partnerships within the FICC business.
- Provision of regulatory analysis and advice in relation to new products, business initiatives and bespoke projects.
- Promote effective compliance and oversight with legislation in relation to their FICC business.
- Primary point of contact for all compliance divisions, auditors and infrastructure departments in relation to compliance matters in the UK and overseas jurisdictions as needed.
- Provide interpretation of relevant rules, regulations, policies and procedures.
The preferred candidate will ideally have a markets investment banking background and demonstrate a strong understanding of fixed income products. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to inan@altussearch.co.uk or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.
Leave a Reply
You must be logged in to post a comment.