Fixed Income Compliance Officer recruitment
RESPONSIBILITIESProvide compliance advice and guidance to business lines, firm management and compliance support on application of rules, regulations and policies. Educate and train business line and compliance and other support staff on relevant rules, regulations, policies and processes. Identify the need for, create, establish, update, implement and monitor compliance with Compliance policies and procedures. Respond to regulatory inquiries and manage regulatory examinations.TECHNICAL SKILLSRequired/Must have:* Knowledge of fixed income sales and trading laws, rules and regulationsDesired/Plus:* Read more […]
Fixed Income Compliance Officer recruitment
The Compliance Officer will have general oversight of the fixed income trading activities and administer the compliance monitoring and testing program.Other responsibilities include, but are not limited to:* Document and execute surveillance and testing of fixed Income activity which currently include US Treasury Securities, government sponsored agency debt, municipal securities, high yield corporate debt and money market Instruments.* Conduct transaction reviews of trading and sales records as detailed in the compliance monitoring program for the business line to verify the efficacy of the Read more […]
Fixed Income Compliance Officer recruitment
This role is designed to assist Compliance Head and Regional Head of Fixed Income Compliance in regional activities and advisory tasks relating to DCM, FX and Interest Rate trading and sales plus structuring.You will be required to review new products to identify compliance issues across south east Asia, work with other stakeholders to ensure appropriate controls are in place, plus provide advisory to fixed income sales and trading. Additionally you will be required to conduct risk assessment and compliance reviews on existing business activities.To be successful in this position you must have Read more […]
Fixed Income Compliance Officer recruitment
Significant experience working in a compliance or related function.Understanding of the application of SEC, FINRA and MSRB Regulations applicable to fixed income products, sales and trading.Understanding of Regulations ATS and familiarity with current market structure issues applicable to fixed income products, sales and trading.Familiarity with broker dealer systems and applications.Strong written and verbal skills.Experience in designing an effective compliance programAbility to identify and analyze issues and provide clear sensible solutions in light of the relevant legal regulatory requirements. Read more […]
Fixed Income Compliance Officer recruitment
This is a great opportunity for a fixed income compliance professional to join a dynamic surveillance group at a leading, global investment bank.The Fixed Income Compliance Officer will be responsible for:* Analyzing fixed income transaction alerts and exception reports* Provide reports to upper management* Ensuring that the bank is in compliance with applicable rules and regulations* Working with the audit team and regulators * Keeping policies and procedures currentThe ideal candidate will meet the following qualifications:* Series 7 * Excellent knowledge of fixed income products * Knowledge Read more […]