This individual will provide advisory compliance support for the Rates Sales & Trading, and fixed income components of Bank Resource Management. Candidate will be expected to provide advice on FINRA, CFTC, Federal Reserve, OCC 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 Rates Sales & Trading, fixed income components of Bank Resource Management, 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 fixed income compliance or legal experience
In-depth understanding of Rates Products suite including Treasury market practices, Treasury primary dealer auction activities, interest rate swaps and futures.
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
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