Director of Fixed Income Compliance
About the Company
Join a globally recognized financial services firm that stands at the forefront of the industry.
Industry
Financial Services
Type
Public Company
Founded
2016
Employees
5001-10,000
Categories
About the Role
We are looking for a dedicated and experienced Director of Fixed Income Compliance to lead our compliance efforts within the dynamic realm of fixed income trading and operations. This pivotal role will have you managing a talented team of compliance professionals, primarily focusing on compliance with regulations in the United States, Canada, and potentially South American jurisdictions.
This is your chance to make a significant impact by ensuring strict adherence to regulations related to fixed income products, including electronic, algorithmic, hybrid, and voice trading. Key responsibilities will include:
The ideal candidate will bring a minimum of 15 years of experience in fixed income compliance, ideally within a broker-dealer setting. A strong educational background is essential, along with Series 7 and 24 licenses or the willingness to obtain them. Proficiency in dealing with regulators such as the SEC, FINRA, CFTC, and NFA is crucial.
We seek an individual with a deep understanding of fixed income markets, excellent writing, verbal, and analytical skills, and the capability to manage various tasks concurrently. The role requires a professional with a solid work ethic, strong teamwork abilities, and experience in leading a compliance team. Familiarity with risk assessments and mitigation strategies is preferred. While not mandatory, experience with compliance in Canadian and/or South American jurisdictions would be a valuable asset.
Our commitment to inclusivity means we encourage enthusiastic candidates to apply, even if they don’t meet every single requirement outlined in the job description.
Hiring Manager Title
Chief Compliance Officer, Americas
Travel Percent
Less than 10%
Functions
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