Global Markets Compliance Officer (AVP to VP)

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 29 Sep 16

Our client is a prestigious, global investment bank seeking to add a talented Markets Compliance advisory AVP or VP level candidate to it's first in class Regulatory & Compliance program.


Coverage Areas: Global Credit - Financing & Solutions, Commercial Real Estate and Securitized Products Trading

Primary Coverage Area: Securitized Products Trading


Compliance is seeking to hire a highly motivated candidate to assist in providing compliance oversight for its Global Credit - Financing & Solutions (“GCFS”), Commercial Real Estate (“CRE”) and the Securitized Products Trading businesses, as well as the related sales teams.

Firm's GCFS business consists of the following business lines: (1) ABS Banking, (2) Transportation, Infrastructure & Energy, (3) Direct Lending & Credit Solutions.

ABS Banking provides origination and warehousing capabilities in the asset-backed securitization space across a variety of asset classes.

Transportation, Infrastructure & Energy provides financing to aircraft and other commercial transport companies, as well as finances infrastructure and energy assets including their construction.

Direct Lending & Credit Solutions provides securities financing via repos and/or TRSs and originates and trades bank loans.

Commercial Real Estate provides financing to public corporations, private equity groups and individuals owning or acquiring commercial real estate assets in all property types including hotel and lodging, industrial, manufactured housing, multi-family, office and retail across the Americas and Europe. The group originates mortgage loans secured by commercial real estate both for portfolio and securitization or other exit strategies, buys or funds the purchase of pools of non-performing commercial mortgage loans and works with special servicers to maximize value, coordinates hedging of loan portfolios and otherwise manages loan portfolios, and issues and underwrites securitizations, structuring the transactions and acting as transaction manager.

Securitized Product Trading engages in secondary market making in CMBS, private label RMBS, US Consumer and other Asset-Backed Securities, Collateralized Debt Obligations and Collateralized Loan Obligations (“CLOs”).

Qualifications – The successful candidate will have:


  • At least 2 years of experience providing compliance coverage of a sales or trading desk at a broker/dealer that makes markets in one or more securitized products (e.g. ABS, RMBS, or CMBS); 3-5 years working on or providing trade/sales support to such a desk; or 5-7 years of experience providing compliance coverage to a desk that does not trade securitized products.
  • Functional knowledge of the US fixed income and derivative trading regulatory framework, the ’33 Act and the ’34 Act, FINRA, SEC, broker dealer regulations and other relevant bank regulations.
  • Ability to readily analyze complex transactions and assess an array of compliance considerations including information barriers, conflicts of interest, cross-border issues and market conduct/market abuse.
  • A detailed understanding of how securitized products are traded (detailed knowledge of front-office trading applications and TRACE report requirements).
  • Ability to provide real-time guidance to the Structured Finance platform on compliance matters including regulatory requirements.
  • An undergraduate degree from an accredited institution.
  • Ability to identify and escalate relationships or transactions that pose reputational risk to Firm or create a conflict of interest.
  • Ability to make, support and defend difficult and complex regulatory and/or compliance decisions in a fast-paced and high pressured environment.
  • Ability to project confidence and professionalism in dealings with senior business personnel.
  • Effective communication skills, as the candidate must routinely collaborate and partner with Compliance colleagues in other jurisdictions, as well as in other asset classes, to resolve or address regulatory and/or compliance concerns.

Additional responsibilities include:

  • Develop and enhance compliance policies and procedures and coordinate with global colleagues in developing global standards.
  • Assist with the establishment of an appropriate control framework tailored to the activities of the specific SF business lines.
  • Analyze proposed and enacted regulations and determine impact to supported SF business lines.
  • Conduct periodic risk assessments of the SF business lines and their control frameworks.
  • Develop and deliver compliance training on appropriate topics.