VP of Fixed Income Compliance
VP of Fixed Income Compliance
Madison-Davis, LLC
New York City Metropolitan Area
See who Madison-Davis, LLC has hired for this role
Madison-Davis, LLC provided pay range
This range is provided by Madison-Davis, LLC. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
Broker dealer located in Midtown Manhattan looking to bring on board a “VP of Fixed Income Compliance” to join their team. This role is currently in a hybrid schedule (3 days in office / week).
Responsibilities:
*Provide day to day advice across Public Finance and Municipal Securities Sales and Trading Businesses.
*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
Mid-Senior level -
Employment type
Full-time -
Job function
Finance, Analyst, and Other -
Industries
Financial Services, Banking, and Investment Banking
Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x
See who you knowGet notified about new Vice President Fixed Income jobs in New York City Metropolitan Area.
Sign in to create job alertSimilar jobs
People also viewed
-
Vice President, FX & Fixed Income Trade Surveillance Compliance
Vice President, FX & Fixed Income Trade Surveillance Compliance
-
VP, Business Manager-Credit Trading
VP, Business Manager-Credit Trading
-
Compliance, GBM Public Compliance- Equity Derivatives, Associate / Vice President, NY
Compliance, GBM Public Compliance- Equity Derivatives, Associate / Vice President, NY
-
Global Markets Legal Department - Vice President and Counsel for Equity Derivatives and Interest Rate Derivatives
Global Markets Legal Department - Vice President and Counsel for Equity Derivatives and Interest Rate Derivatives
-
VP Compliance Officer- Equity Specialist
VP Compliance Officer- Equity Specialist
-
VP, Compliance Product Officer - Markets Electronic Trading NAM/LATAM – C13 (New York)
VP, Compliance Product Officer - Markets Electronic Trading NAM/LATAM – C13 (New York)
-
Private Equity Vice President
Private Equity Vice President
-
Private Equity VP - Debt/Restructuring
Private Equity VP - Debt/Restructuring
-
VP- Private Equity Valuations Specialist
VP- Private Equity Valuations Specialist
-
Vice President Finance - Private Equity
Vice President Finance - Private Equity
Similar Searches
Explore collaborative articles
We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
Explore More