Vice President, Compliance Officer, Fixed Income Sales and Trading
Vice President, Compliance Officer, Fixed Income Sales and Trading
About the Company
Acclaimed investment bank
Industry
Investment Banking
Type
Privately Held
About the Role
The Company is seeking a Vice President, Compliance Officer with a focus on Fixed Income Sales and Trading. The successful candidate will be responsible for providing real-time advisory services to the credit business, identifying and advising on regulatory trends and developments, and ensuring compliance with firm policies, procedures, and applicable securities laws. This role involves drafting, updating, and implementing relevant policies and procedures, as well as providing regulatory and compliance training. The Vice President will also be involved in internal investigations, responding to regulatory inquiries, and coordinating audits and inspections. Applicants for the Vice President, Compliance Officer position at the company should have the ability to make and defend complex regulatory and compliance decisions in a fast-paced environment. The role requires a professional who can project confidence and professionalism in interactions with senior business personnel. Key responsibilities include supporting the global compliance monitoring program, performing testing and monitoring of compliance with firm policies, and conducting risk assessments to ensure an effective business control framework. The ideal candidate will have a strong background in compliance within the financial services industry, particularly in the fixed income sales and trading sector, and must be adept at managing multiple tasks and priorities.
Travel Percent
Less than 10%
Functions
- Finance
Additional Information
- City
- New York City
- State
- NY
- Zip
- 10001
- Country
- United States
- Job Type
- Finance
- Mobile Friendly Apply
- No
- Html Jobs
- Yes
- Url
- https://click.appcast.io/t/RWXWnl16JwExx9cnB2eZmti8H_Mt5X78EolwvnrSnU8OViV_CJtauN4GY9NH-luIwaar875lrDfwkEz0hDcGCQ==
- Cpc
- 0.22