VP Compliance Advisory Securitized Products

Managing the local compliance program for this business area in a manner designed to meet regulatory requirements and industry best practices.

Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities, and working with supervisors to implement any required changes to current policy / practice. Drafting and updating policies and procedures.

Developing trade surveillance reports. Participating in internal investigations, responding to regulatory inquiries, and coordinating internal and external audits and inspections. Interacting with regulatory agencies and exchanges. Providing regulatory/compliance training as needed.

Requirements:

At least 5 years of compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm.

Bachelor’s degree; law degree a plus.

Strong knowledge of SEC and FINRA rules and regulations. Securities license(s) a plus.

Excellent oral and written communication skills. Ability to project confidence and professionalism in all dealings with business personnel. Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor environment. Familiarity with Bloomberg a plus. Knowledge of and experience with asset-backed securities a plus.

**Experienced with structuring deals is a highy valued**

June 24, 2013 • Tags: , • Posted in: Financial

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