Fixed Income Compliance Officer, Vice President - Securitized Products and Rates
Core
Provide advisory compliance support for Securitized Products Sales & Trading, Origination and Lending, and Rates Sales & Trading businesses, interpreting regulations from FINRA, CFTC, Federal Reserve, OCC, and SEC.
Role type
Vice President, Fixed Income Compliance Officer
Builds
Compliance advisory services and control mechanisms for Fixed Income business units
Domain
Financial Services / Fixed Income / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory interpretation (FINRA, CFTC, SEC, Federal Reserve, OCC), Securitized Products expertise (ABS, RMBS, CMBS, CLO, CMO), Rates Products expertise (Treasury, swaps, futures), Project management, Complex issue resolution
Preferred skills
J.D. (optional), Industry forum participation
Technologies
N/A
Responsibilities
Review and analyze complex compliance situations, Monitor regulatory developments and update desk policies, Interact with business management and risk teams, Assist in regulatory reviews and audits, Develop policies and training materials
Seniority
Senior, hands-on IC with advisory scope