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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Finance - Banking
Litigation - Whistleblower - CFTC
Min 1 yrs required
Compliance Officer- Fixed Income (Credit Markets) The candidate within bank's Institutional Client Group (ICG), supporting the Credit Markets Trading and Sales, and the Capital Markets Origination and Syndication product areas. Primary responsibilities include providing day-to-day Compliance advice relating to trading, suitability, new products, sales practices and guidance on fixed income regulatory rules/laws. Provide guidance on rules and regulations relating to trading, sales practices, information barriers, trade reporting, and Dodd-Frank compliance as well as, provide transactional approvals and interpretation of internal compliance policies. Draft compliance policies and procedures. Assist with regulatory inquiries and/or examinations. This may include coordination with Regulators including to, FINRA, SEC, OCC, Federal Reserve, and CFTC. Collaborate with other internal areas including: Legal, Middle-Office, Business Management, Operations, Technology, Control Units, In-Business Risk and Market Surveillance to address compliance issues which may impact the fixed income business. Will be supporting the business in performing timely compliance reviews of new transactions, products and/or methods for effectuating trading. Assist in the development and administration of Compliance training for the fixed income business. Research securities rules/rule changes and implement policies, procedures or other controls necessary to comply with the rules.
Qualification and Experience
The candidate must have Bachelor's degree; MBA or J.D. a plus. FINRA registrations (e.g. Series 7, 63, 24, 79) desirable. Past or current product compliance work experience with fixed income products, securities, and derivatives desired. Must have working knowledge of fixed income products, securities, and derivatives. Should have knowledge of FINRA and SEC Regulatory rules relating to fixed income securities. Knowledge of bank regulatory rules/regulations touching on broker-dealer activities (E.g., Reg. W, Reg. R) a plus. Should have excellent oral and written communication skills. Must have ability to articulate complex securities rules in written policies and procedures. Must have the ability to think critically and respond to the time-sensitive needs of the business. Must work collaboratively with the businesses they support, providing compliance guidance and administering the Firm's Compliance policies/procedures in a timely manner.
Ref-14081337.
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