Job description
Business type
Types of Jobs - Compliance / Financial Security
Job title
Monitor & Surveillance Compliance Officer (Director)
Contract type
Permanent Contract
Job summary
Summary :
The Fixed Income Compliance Officer is responsible for day-to-day monitoring and surveillance of the Global Markets Division ( GMD ) Swap Dealer and U.S. Broker-Dealer.
Key Responsibilities :
- Assist in developing and implementing policies and procedures related to NFA / CFTC / FINRA / SEC Rules and Regulations.
- Complete monthly / quarterly / annual controls for swap dealer activity (ex. Pre-Trade Mid-Market Mark, Daily Marks, Trade Reconstruction, etc.)
- Review daily broker-dealer surveillance (ex. Off-Market, Markup / Markdown, etc.)
- Perform routine electronic / voice communication surveillance to ensure compliance with applicable regulations when necessary.
- Assist in providing guidance and advice to the GMD staff on compliance issues.
- Provide ad hoc training to GMD staff when necessary.
- Report to Senior Compliance staff and / or the relevant senior GMD staff on the main identified weaknesses and / or compliance risks within GMD and set out recommendations for changes.
- Assist with special projects reports of various business lines.
- Research and respond to regulatory inquiries.
Management and Reporting :
The Fixed Income Compliance officer reports directly to the US Head of Global Markets Regulatory Compliance Monitoring & Surveillance.
Key Internal contacts :
- o All GMD business units;
- o IT Department;
- o Legal department;
- o Audit department;
o Risk departments; and
o Operations departments.
Key External contacts :
The Firm’s regulators, including but not limited to FINRA, SEC, NFA, and CFTC.
Salary Range : $180k - $220k
Position location
Geographical area
America, United States Of America
City
NEW YORK
Candidate criteria
Minimal education level
Bachelor Degree / BSc Degree or equivalent
Academic qualification / Speciality
Bachelor’s Degree
Level of minimal experience
6-10 years
Experience
At least 8+ years of working experience preferably in the banking / brokerage industry.
Series 7, 24 and NFA SPR (or ability to obtain within the first year of employment)
- Advanced knowledge of the U.S. Swap Dealer regulatory framework, specifically CFTC and NFA rules and regulations
- Knowledge of Fixed Income products, offerings and trading as well as publication of transactions and quotes
- Ability to handle highly confidential and complex matters with sound judgment and in an ethical and professional manner
- Analytical knowledge of capital markets issues and experience with interaction with sales / trading personnel and senior management
- Work well in a team environment displaying leadership qualities; strong written and oral communication skills
- Expert with Microsoft Excel, Word and PowerPoint
Working knowledge of all Fixed Income / Swap Products
Strong understanding of CFR Parts 43 and 45 transaction reporting and the ability to produce KPI reports for management.
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