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Subject: Fixed Income Sales & Trading Desk Compliance VP – Investment Bank New York

Gerald Elliott posted a job: Fixed Income Sales & Trading Desk Compliance VP – Investment Bank New York

"Top-tier investment bank seeks a Fixed Income Compliance professional for their sales and trading division. The position will at the Vice President level and have core responsibilities for providing real-time Compliance advisory support to the Rates Sales and Trading Desks, as well as assistance with the Fixed Income Finance business area. Main Duties: * Provide in-depth knowledge and experience of the relevant GSE and FRBNY rules and regulations with respect to both trading and controls. * Provide real time support and advice to the sales and trading desk personnel. * Ability to review rule proposals and amendments and clearly interpret their affect on the relevant areas. * Develop and implement Compliance policies and procedures as needed. * Assist with regulatory exams and inquiries in relation to the Rates business. * Provide clear insight when evaluating New Product Sign-Off on relevant products * Interact with and present to senior compliance and front office personnel on relevant issues. * Assist Operations and IT with trade reporting related questions in addition to having a strong familiarity with trade reporting rules. Review daily surveillance reports and provide close-outs on exceptions in a timely fashion. To apply please submit your resume to Info@compliancesearch.com"

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