Head of Fixed Income Compliance
About the Company
Globally recognized financial services firm
Industry
Financial Services
Type
Public Company
Founded
2016
Employees
5001-10,000
Categories
About the Role
The Company is in search of a Head of Fixed Income Compliance to join their dynamic team. The successful candidate will be responsible for providing expert regulatory and compliance advice and support to the firm's fixed income trading and operational functions. This pivotal role involves managing a small team of compliance professionals, ensuring adherence to regulations in the United States, Canada, and potentially South American jurisdictions. The Head of Fixed Income Compliance will be at the forefront of maintaining the firm's compliance with key regulations related to fixed income products, including electronic, algorithmic, hybrid, and voice trading. Key responsibilities include responding to and addressing inquiries from business units, creating and maintaining controls, and managing regulatory examinations and inquiries. The role also requires the candidate to have a strong background in fixed income businesses, securities markets, and applicable reporting requirements, with a minimum of 15 years' experience in supporting fixed income compliance at a broker-dealer. The ideal candidate for the Head of Fixed Income Compliance position at the company will have a college degree, Series 7 and 24 licenses or the ability to obtain them, and a proven track record of dealing with regulators such as the SEC, FINRA, CFTC, and NFA. Essential skills include in-depth knowledge of fixed income businesses, strong writing, verbal, and analytical skills, and the ability to manage multiple tasks simultaneously. The role demands a professional with a strong work ethic, the ability to work well with others, and experience in managing a team. The candidate should be adept at technical matters, have experience working with senior stakeholders, and be capable of conducting risk assessments and implementing risk mitigation solutions. While not mandatory, experience with Canadian and/or South American jurisdictions is a desirable attribute. The company values inclusivity and encourages individuals who are enthusiastic about the role to apply, even if their experience does not align perfectly with every aspect of the job description.
Hiring Manager Title
Chief Compliance Officer, Americas
Travel Percent
Less than 10%
Functions
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