New job Fixed Income Rates Compliance Officer AVP/VP New York

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Fixed Income Rates Compliance Officer AVP/VP New York Gerald Elliott posted a job: Fixed Income Rates Compliance Officer AVP/VP New York "Top-tier investment bank seeks a Fixed Income Compliance Officer that will be responsible for implementing and managing the overall compliance program for the Cores Rates business for the firm. This coverage includes Core Rates Trading, Structuring and Sales functions. Desks covered: Governments (including the Primary Dealer), Agencies, Municipals, Swaps, Options, Fund Derivatives and Algo Trading. Responsibilities will include: * Managing the local compliance program for this business area in a manner designed to meet regulatory requirements and industry best practices. * Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities, and working with supervisors to implement any required changes to current policy / practice. * Drafting and updating policies and procedures. * Developing trade surveillance reports. * Participating in internal investigations, responding to regulatory inquiries, and coordinating internal and external audits and inspections. * Interacting with regulatory agencies and exchanges. * Providing regulatory/compliance training as needed. Qualifications: * At least 5 years of compliance or regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm. * Bachelor’s degree; law degree a plus. * Strong knowledge of SEC and FINRA rules and regulations. * Excellent oral and written communication skills. * Ability to project confidence and professionalism in all dealings with business personnel. * Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor environment. * Familiarity with Bloomberg a plus. * Securities license(s) a plus. * Knowledge of and experience with structured products, and/or ETFs a plus To apply please submit your resume to Info@compliancesearch.com"

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