Director - Fixed Income Compliance Officer

A global bank located in Midtown Manhattan looking to bring on board a "Director - Fixed Income Compliance Officer" to join their team. This role is currently in a hybrid schedule (2 days in office).Responsibilities:• Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income activities including Primary Dealer and fixed income futures activity.• Provides advice on regulatory and compliance requirements to business unit management and staff so that they may conduct their business in conformance with regulatory requirements.• Advises and provides regulatory guidance on establishing a reasonably designed supervisory system including to create and update written supervisory procedures.• Monitors and provides updates on regulatory changes and supports implementation of new / amended regulatory requirements.• Conducts monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.• Proactively engages with Compliance, Legal and control function colleagues to enhance the overall Compliance program.• Escalates regulatory concerns and other significant matters to their manager and ongoing support as necessary for matters requiring escalation.• Interfaces with regulators and Internal Audit during compliance related examinations / audits related to coverage area.• Research and drafts responses to regulatory inquiries.• Advises on the maintenance of internal policies and procedures with focus on current compliance framework as reference point.• Coordinate with affiliates to address cross border issues, reporting requests and special projects.• Seeks operational efficiencies and automation of processes to reduce risk of manual processes.• Create and deliver compliance training by drafting appropriate training materials and conducting trainings• Leads / Contributes to various reporting requirements and other ad hoc investigations.• Work with Global Advisory team and other legal entities in the Americas to lead a coordinated effort throughout the organization.• Collaborates closely with Compliance team and other supports units to help create and maintain best practice across the Firm.• Plays a key role in the Compliance risk assessment exercise.

Created: 2025-01-15