Broker dealer located in Midtown Manhattan looking to bring on board a “Director Fixed Income & Municipal Bond Securities Compliance” to join their team. This role is currently in a hybrid schedule (3 days in office / week).
Responsibilities:
Manage Compliance personnel supporting the Fixed Income and Municipal Securities Business lines
Provide day to day advice across all FI and Municipal Securities Businesses ensuring strategic consistency across desks
Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
Support the Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping, control mapping and ongoing compliance assessment process.
Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
Draft, update, and implement relevant policies and procedures.
Provide regulatory/compliance training.
Assist the business on implementing and documenting various supervisory/control mechanisms.
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
Interact with federal and state regulators
Analyze new regulations and conduct business-based analysis and execute requite implementation.
Provide ongoing reporting to senior management
Develop and deliver proactive strategies and tactics that support compliance/business objectives
Seniority level
Director
Employment type
Full-time
Job function
Finance and Sales
Industries
Staffing and Recruiting
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