A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. This role is currently in a hybrid schedule (2 days in office).
Responsibilities:
• Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income activities including Primary Dealer and fixed income futures activity.
• Provides advice on regulatory and compliance requirements to business unit management and staff so that they may conduct their business in conformance with regulatory requirements.
• Advises and provides regulatory guidance on establishing a reasonably designed supervisory system including to create and update written supervisory procedures.
• Monitors and provides updates on regulatory changes and supports implementation of new / amended regulatory requirements.
• Conducts monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.
• Proactively engages with Compliance, Legal and control function colleagues to enhance the overall Compliance program.
• Escalates regulatory concerns and other significant matters to their manager and ongoing support as necessary for matters requiring escalation.
• Interfaces with regulators and Internal Audit during compliance related examinations / audits related to coverage area.
• Research and drafts responses to regulatory inquiries.
• Advises on the maintenance of internal policies and procedures with focus on current compliance framework as reference point.
• Coordinate with affiliates to address cross border issues, reporting requests and special projects.
• Seeks operational efficiencies and automation of processes to reduce risk of manual processes.
• Create and deliver compliance training by drafting appropriate training materials and conducting trainings
• Leads / Contributes to various reporting requirements and other ad hoc investigations.
• Work with Global Advisory team and other legal entities in the Americas to lead a coordinated effort throughout the organization.
• Collaborates closely with Compliance team and other supports units to help create and maintain best practice across the Firm.
• Plays a key role in the Compliance risk assessment exercise.
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