VP - Fixed Income Compliance Advisory - Rates & Credit

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 18 Jan 18 2018-01-18

Our client is well regarded, top tier global investment bank looking to add a skilled experienced Fixed Income Compliance professional to it's Fixed income Sales & Trading Advisory team.


The person performing this trading desk advisory position will be responsible for assisting in the implementation and management of the overall compliance program for the Cores Rates business in Firm's New York Office. 

This coverage includes Core Rates Trading, Structuring and Sales functions. Desks covered: Governments (including the Primary Dealer), Agencies, Municipals, Swaps, Options, Index/ETFs and Algo Trading. The role will also require cross-training in order to provide back-up coverage for the Credit Desks which include Investment Grade, High-Yield and Distressed Trading and Sales.
Responsibilities will include:

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.
Level of skills, abilities and knowledge:
- 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.
- Strong knowledge of SEC and FINRA rules and regulations.
- 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.
- Securities license(s) a plus.
- Experience in an investment banking environment a plus.
- Experience with structured products, and/or ETFs a plus.