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Global Markets Compliance - Compliance FICC - Support
New York, NY
Job Description
Title: Global Markets Compliance - Compliance FICC - Support
Location: New York, NY
Duration: 8 Months
Duties:
Position Overview:
The role of a Compliance Officer covering Global Banking & Markets - FICC, macro products is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the FICC business by articulating and maintaining the standards of conduct required of the firm's businesses as well as the laws, regulations and policies governing those businesses. Business aligned compliance provides coverage support to the Business Unit's functional (including sales, trading, and capital markets) and product areas (fixed income, equities, options, etc.), while working closely with other firm departments, including Finance, Operations, Technology, Internal Audit and Legal.
Skills:
Responsibilities:
Skilks and Experience:
SPECTRAFORCE is an equal opportunity employer and does not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, sexual orientation, gender identity, genetic information, disability or veteran status, or any other category protected by applicable federal, state, or local laws. Please contact Human Resources at nahr@spectraforce.com if you require reasonable accommodation.
Location: New York, NY
Duration: 8 Months
Duties:
Position Overview:
The role of a Compliance Officer covering Global Banking & Markets - FICC, macro products is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the FICC business by articulating and maintaining the standards of conduct required of the firm's businesses as well as the laws, regulations and policies governing those businesses. Business aligned compliance provides coverage support to the Business Unit's functional (including sales, trading, and capital markets) and product areas (fixed income, equities, options, etc.), while working closely with other firm departments, including Finance, Operations, Technology, Internal Audit and Legal.
Skills:
Responsibilities:
- Cover Global Banking & Markets - FICC personnel (including sales and trading personnel) and provide advice and oversight on how to conduct the firm's business in a manner that complies with the vast array of rules, regulations and regulatory expectations
- Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
- Create and implement Compliance training programs
- Perform look-backs, oversight and surveillances to assess compliance risks and breaches
- Assist with regulatory engagement including regulatory examinations, audits and inquiries
- Analyze industry events, new or amended laws, rules, and regulations in order to formulate and implement practical and sustainable solutions to industry-wide issues
- Coordinate with the business, Legal, Technology and other divisions across the firm on new desk initiatives
- Engage with senior business leaders on compliance issues
Skilks and Experience:
- Bachelor's degree
- 0-3 years Compliance, Legal, Regulatory or Financial Services industry experience
- General knowledge of rules and regulations governing broker-dealers, swap dealers, and other regulated financial services entities (SEC, CFTC, FINRA, NFA, etc.)
- Highly organized with exceptional attention to detail and follow-through
- Strong ability to manage multiple projects with competing deadlines
- Team player with positive attitude and strong work ethic
- Strong communication skills (written and verbal)
- Ability to work in a fast-paced environment
- Ability to adapt quickly to a variety of industries and businesses
- Ability to self-direct, analyze and evaluate and form independent judgments
- Ability to effectively interact and build relationships with senior management and global stakeholders
- Commercially savvy with ability to exercise discretion with respect to highly confidential/sensitive information
- Integrity, ethical standards and sound judgment
- Bachelor's Degree Preferred
SPECTRAFORCE is an equal opportunity employer and does not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, sexual orientation, gender identity, genetic information, disability or veteran status, or any other category protected by applicable federal, state, or local laws. Please contact Human Resources at nahr@spectraforce.com if you require reasonable accommodation.
Job Summary
Company
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Education
Bachelor's Degree
Required Experience
0 to 3 years
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