Location: New York,NY, USA
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 Firms regulators, including but not limited to FINRA, SEC, NFA, and CFTC.
Salary Range: $180k - $220k