Director, Compliance & Control (Fixed Income and Buy-side Trading Solutions)

We’re seeking a future team member for the role of Director to join our Markets Compliance team, covering Fixed Income and Buy-side Trading Solutions. This role is located in New York City.

In this role, you’ll make an impact in the following ways: 

• Provide real-time advisory compliance support to lines of business and support staff so they may conduct their business in accordance with FINRA Broker-Dealer, NFA Introducing Broker, and Bank regulations. 

• Advise and provides guidance for establishing a reasonably designed supervisory framework

• Prepare and update Compliance policies, and guidance for business owned documentation, including written supervisory procedures. 

• Proactively engages with Compliance, Legal, and business colleagues to enhance the overall Compliance framework. 

• Provide guidance on and remain up to date on regulatory developments and industry best practices.

• Interface with regulators, internal audit, and compliance testing teams during related examinations and/or audits for coverage areas.   
   

To be successful in this role, we’re seeking the following: 

• Bachelor’s degree

• At least 10 years of regulatory compliance experience and current knowledge with focus on capital markets, including fixed income securities. 

• Strong organizational and communications kills and attention to detail.

• Maintains a strong work ethic, is pro-active with ability to work independently and manage ad-hoc projects to conclusion.

• Ability to manage relationships with Business COO, and Controls to foster business change aligned with regulatory expectations