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, ensuring adherence to FINRA, CFTC, Federal Reserve, OCC, and SEC rules.
Role type
Vice President, Fixed Income Compliance Officer
Builds
Compliance frameworks, policies, and procedures for global fixed income business units
Domain
Financial Services / Fixed Income / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory interpretation, complex situation analysis, project management, policy development, audit support, cross-functional communication
Preferred skills
Securities industry registration, government official background (with restrictions check)
Technologies
N/A
Responsibilities
Review and analyze complex compliance situations, monitor regulatory developments, assist in regulatory reviews and audits, develop policies and training, interact with operations and technology support
Seniority
Vice President, Senior Leadership