VP Compliance - Trade Surveillance, Fixed Income
Core
VP overseeing a team of compliance specialists to manage regulatory risk and provide expertise on Fixed Income, Commodities, Options, and Futures products.
Role type
Senior IC VP Compliance (Trade Surveillance)
Builds
Regulatory risk management frameworks and compliance programs for capital markets business units
Domain
Financial Services / Capital Markets / Fixed Income
Deliverable
dashboards & analysis
Required skills
Fixed Income market expertise, regulatory risk management, team leadership, audit and inquiry management, process improvement, stakeholder management
Preferred skills
Knowledge of Commodities, Options, and Futures products, experience with trade surveillance tools
Technologies
Trade surveillance modules and tools
Responsibilities
Manage a team of compliance specialists, conduct reporting and analysis at functional or enterprise levels, monitor service productivity and implement process improvements, prepare summaries and reports for management and regulators, identify and escalate high-risk activities, coordinate with front office and support functions, participate in regulatory reviews including audits and exams
Seniority
Senior, hands-on IC with team management