Our client is in search of a Vice President to offer immediate support to their Fixed Income & Currencies (FIC) Sales & Trading business. This role will primarily concentrate on the Rates and Foreign Exchange (FX) business, providing advice on matters related to sales and trading activities, surveillance and monitoring of controls, supervision, and other typical issues for a large global investment bank.
What you'll do:
As the Vice President - Rates and FX Compliance, your role will be crucial in offering immediate advisory services to the Rates and FX business within the Fixed Income & Currencies (FIC) Sales & Trading division. You'll be at the forefront of identifying regulatory trends that could impact the business areas you oversee. Your expertise will be vital in advising on firm policies, securities laws, regulations, as well as drafting new policies when necessary. You'll also play an essential role in providing regulatory compliance training, assisting in implementing control mechanisms, participating in internal investigations, responding to regulatory inquiries, and coordinating audits.
• Offer immediate advisory services to the Rates and FX business within Fixed Income & Currencies (FIC) Sales & Trading.
• Identify regulatory trends and developments impacting business areas.
• Advise staff on how these may impact their current activities.
• Counsel business areas on Firm policies and procedures and applicable securities 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.
• Participate in internal investigations.
• Respond to regulatory inquiries.
• Coordinate internal and external audits and inspections.
What you bring:
As the Vice President - Rates and FX Compliance, you bring a wealth of knowledge from your significant experience with fixed income products, including FX, credit and rates. Your expertise in advising for Rates and FX business activity is crucial to this role. You're familiar with Primary Dealer activities and obligations, as well as the FX Global Code. Your background includes providing compliance or legal coverage to a sales or trading Rates or FX desk at a broker/dealer. You have a functional knowledge of the US fixed income and derivative trading regulatory framework. Your strong communication skills enable you to effectively influence others and engage senior stakeholders.
• Bachelor’s degree or equivalent; JD or MBA a plus.
• Significant experience with fixed income (including FX, credit and rates) products.
• Experience in advising for Rates and FX business activity.
• Familiarity with Primary Dealer activities and obligations.
• Familiarity with the FX Global Code.
• Relevant experience providing compliance or legal coverage to a sales or trading Rates or FX desk at a broker/dealer.
• Functional knowledge of US fixed income and derivative trading regulatory framework.
• Strong written and verbal communication skills.
• Ability to effectively influence others.
What sets this company apart:
• The company offers a diverse and inclusive environment that embraces change, innovation, and collaboration.
