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