Overview

A global bank seeks a Fixed Income Compliance Officer.

Responsibilities:

Vice President, Advisory Compliance Officer for Credit and Portfolio Management (PM), and Debt Capital Markets (DCM)

  • The VP / Advisory Compliance Officer for PM and DCM will provide advisory compliance coverage for both businesses.
  • The Credit and Portfolio Management business includes the Corporate Loan Book, the Portfolio Management team and the Coverage Credit Execution team.
  • The DCM business primarily includes Corporate Debt Origination, with a primary focus on North America debt capital markets.
  • The VP / Advisory Compliance Officer for PM and DCM will be part of a team responsible for providing advisory compliance coverage for the broader CIB US Investment Banking business.

 

Principal Business Responsibilities:

  • Advise both businesses on regulations, policies and best practices
  • Research securities and regulatory rules / rule changes and distill major points into procedures and related controls
  • Assess and analyze businesses’ current  levels of compliance with respect to the Loi Bancaire and Volcker Rules (particularly for PM)
  • Compliance representative on the Fixed Income Commitment Committee (FICC) for new DCM mandates
  • Establish written guidance on the appropriate implementation of regulatory requirements, laws, rules and standards through policies and procedures and other documents such as Compliance Manuals, Written Supervisory Procedures and other mediums
  • Conduct training on various Compliance / regulatory topics and utilize various methods (e.g., team meetings; one-on-one; Compliance Bulletins; Annual Compliance Meetings) to educate the respective businesses
  • Advise PM and DCM of regulatory / compliance requirements on a transaction-specific basis
  • Track new industry initiatives and regulatory developments, and participate in meetings concerning implementation of any new requirements.
  • Advise on pre-sounding requests from DCM
  • Work closely with other control areas as well as Legal and Control Room, in order to identify and provide advice with respect to compliance, reputational and operational risks

 

Qualifications:

  • BA or BS Degree a must
    • Master’s Degree, or JD or MBA, a plus
  • Minimum of 5 -7 years of experience with a financial services firm in a Compliance role
  • Strong knowledge of U.S. securities rules and regulations, especially those of the SEC and FINRA
  • Excellent interpersonal and communication skills with the ability to interact effectively with front office employees and senior management
  • Work effectively in a team environment and foster effective relationships
  • Superb oral and written communication skills
  • Think analytically and provide advice based on sound judgment
  • Ability to create and maintain Compliance manuals and procedures
  • Exceptional organizational and project management skills, as well as attention to detail
  • Advanced skills and competencies to:
    • Manage multiple open issues and projects at the same time and meet timely deadlines
    • Interact and work closely with the business and infrastructure partners at all levels of seniority

FINRA Registrations Required:  No registration requirements

 

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

 

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