FICC Compliance Officer, Senior Manager
Core
Provide primary compliance coverage to U.S. FICC businesses and assist in meeting regulatory obligations.
Role type
Senior Manager, FICC Compliance Officer
Builds
Compliance support for FICC cash trading and sales businesses
Domain
Financial Services / Fixed Income, Currencies, Commodities
Required skills
Regulatory analysis, policy development, training delivery, risk assessment, investigation, stakeholder communication
Preferred skills
Knowledge of Treasury auctions, New Initiatives (NIA) policies, surveillance routines
Technologies
N/A
Responsibilities
Advise on application of laws, rules, and regulations to FICC businesses; Create and maintain compliance policies and procedures; Evaluate new business proposals under NIA policies; Investigate regulatory inquiries and examine trade breaches; Monitor regulatory environment for emerging legislation.
Seniority
Senior Manager, hands-on IC