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
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