The Fixed Income Compliance Director will be responsible for providing a broad range of direct advisory support to a number of fixed income desks and product areas within FCM. The Director will provide technical and interpretative guidance to FCM personnel, with primary focus on FCM’s Fixed Income Sales, Trading and Middle Office.
This position is located in Boston, Massachusetts.
This position currently does not require securities licenses but we will sponsor the 7 and 24.
Position Responsibilities
Provide advisory Compliance support to various businesses, with a focus on Fixed Income Trading, Sales and Middle Office.
Develop and maintain written supervisory procedures, Compliance policies and other documentation.
Implement necessary Compliance changes due to new or amended regulatory requirements applicable to product areas.
Support the introduction of new products and service initiatives by providing advice and developing the appropriate Compliance/supervisory infrastructure.
Design and deliver targeted training to business personnel.
Partner with the Surveillance, Risk, and Internal Controls testing teams
Assist regulatory inquiries/exam staff with regard to relevant regulatory matters.
Qualifications
Education and Experience
College degree required, business major preferred.
MBA or law degree a plus.
Minimum 5 years of Compliance experience in a trading environment or similar experience with a securities regulator. Fixed Income experience is preferred.
Skills and Knowledge
Must possess in-depth understanding of the fixed income securities markets and associated regulations, especially in the area of municipal securities.
Strong written and verbal communication skills.
Ability to identify core regulatory and compliance issues in a fluid trading environment.
Ability to thrive in a high-pressure environment, yet manage multiple priorities.
Effective relationship building skills to interact with colleagues and business partners.
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