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Department Overview The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation.
Fixed Income Compliance
The Fixed Income Division ("FID") Compliance Group provides a comprehensive advisory and control service to FID to monitor business activities for adherence to both Firm and regulatory requirements. FID is divided into three primary business areas: 1) Macro (including Interest Rates and FX); 2) Credit Complex (including Credit Corporates, Securitized Products and Municipal Securities); and 3) Commodities. The FID Compliance Group provides advisory support to each business unit within FID.
This individual will provide advisory compliance support for the Credit Corporates Sales & Trading business. Candidate will be expected to provide advice on FINRA, CFTC and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures. Candidate must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision. Candidate should be proficient in time management and able to initiate and manage projects. Candidate may have managerial responsibilities, which may include supervision of other members of the FID Compliance team.
Provide Compliance support for the Credit Corporates Sales & Trading desks, as well as related support functions
Communicate with senior business management, risk management and Sales & Trading desk personnel regularly and address issues on a real-time basis
Actively monitor regulatory developments and trends, participate in industry forums to address new rule proposals, and take appropriate action to ensure the business unit understands and complies with new or amended regulations, including updates to desk policies and procedures and training
Assist other control functions in the maintenance of written supervisory procedures
Interact with operations and technology support to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation
Assist in regulatory reviews, audits and other examinations
Develop policies, procedures and training
Minimum 6-10 years of credit corporates and fixed income compliance or legal experience
In-depth understanding of credit products suite including corporate bonds, CDS, loans, credit indices, and structured products
Detailed knowledge of broker-dealer regulatory compliance including FINRA, CFTC and SEC regulations
Excellent communication skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel
Strong organization skills with the ability to multitask and prioritize
Internal Number: 3137668
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