Compliance Officer Investment Bank Compliance Fixed Income Sales & Trading

Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - FIC Macro Compliance

You will provide business compliance coverage for the Fixed Income and Currencies (FIC) Macro Sales & Trading businesses. You will primarily focus on the Foreign Exchange (FX) business, and will support other desks including Interest Rates, Global Emerging Markets, and Futures as needed. You will be responsible for typical line compliance functions within a large, global investment bank, including but not limited to: providing real-time advice on matters relating to trading and sales activities; reviewing and advising on surveillance escalations; performing monitoring of controls; completing risk assessments; reviewing and advising on new product and transaction proposals; responding to regulatory inquiries and exams.

A diverse and inclusive environment that embraces change, innovation, and collaboration. A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days. Employee Resource Groups support an inclusive workplace for everyone and promote community engagement. Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits. Educational resources, matching gift, and volunteer programs.

Provide real-time advisory services to the Fixed Income & Currencies (FIC) Sales & Trading businesses, with a particular focus on FX. Advise business areas on Firm policies and procedures and applicable laws and regulations, Draft, update, and implement relevant policies and procedures. Provide regulatory/compliance training, Assist the Business in implementing and documenting various supervisory/control mechanisms. Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities. Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections, Support the compliance monitoring program. Conduct risk assessments to ensure effective business control frameworks.

Excellent oral and written communication skills. Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environment. Ability to project confidence and professionalism in dealings with senior business personnel.

Bachelor's degree or equivalent; JD or MBA a plus. Compliance experience with markets coverage, but at a minimum experience in advising for FX or Interest Rates business activity. Skills That Will Help You Excel Relevant experience providing compliance or legal coverage to FIC desk at a broker/dealer working on or providing trade/sales support to such a desk. Functional knowledge of: US derivative trading regulatory framework (Commodity Futures Trading Commission (CFTC)/NFA and Securities and Exchange Commission (SEC) SBSD rules and regulations); Financial Industry Regulatory Authority (FINRA) and SEC broker dealer regulations; industry standards (e.g., FX Global Code, FMSB Standards); relevant US Bank regulations. Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, the Business and other infrastructure functions. Action-oriented and delivery focused with a disciplined approach and an ability to be proactive, work under pressure, and within tight deadlines while maintaining accuracy, showing initiative, and reacting quickly to changes in priorities. Ability to project confidence and professionalism.