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Manager, Fixed Income Compliance
Our client is currently utilizing our services in order to identify top talent for the role of Director of Fixed Income Compliance, based in New York City. In this role, selected candidate will: Serve as a trading floor resource on all compliance issues Support Rates, Agencies, FX, Treasury, E/Mkts, Futures businesses Participate in regulatory working groups and industry association events Oversee Treasury Auction process compliance Lead Compliance Risk Assessment initiatives Oversee FI Compliance Risk Training for North America Oversee managers responsible for regulatory exams, specifically SEC and FINRA exams Oversee testing of compliance infrastructureMonitor all regulatory changes and evaluate their impact on supported businesses Oversee responses to formal regulatory inquiries...
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