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: 2025-01-26