This group focuses on advice, training, monitoring and other second line of defense control function services provided in the coverage Fixed income (Rates and Credit) Commodities and Currencies (FICC) sales and trading desks.
Responsibilities:
Primary responsibilities include assisting the senior advisor for the Foreign Exchange, Local markets and Commodities (FXLMC) desks across business lines with various tasks and interfacing with other compliance areas to address, among other things, the following topics:
* Compliance coverage of the FXLMC desks
* Review and provide compliance advice in connection with existing new or amended rules / regulations affecting the FXLMC desks
* Provide real time advice to trading, sales on the floor as ad hoc issues arise
* Produce new policies and procedures, and assess and remediate gaps in existing policies and procedures for current and new regulatory requirements.
* Liaison between Capital Market Surveillance and the relevant trading desks
* Assisting in development and documenting of compliance policies and procedures, written supervisory procedures and other tailored or discreet compliance advisory bulletins;
* Preparing and leading compliance training for new and existing staff;
* Assisting Inquiries and Examination teams in responding to regulatory inquiries and examinations;
* Provide advice on new products, services and business activities in connection with the firms NAC/TAC Committees
* Asist the risk assessment and testing teams with business unit risk assessments and testing
* Assist in FICC specific matters such as treasury auctions, TRACE-related issues
Minimum Required Qualifications:
* 5 or more years of relevant experience directly with the compliance department, front office or risk management areas covering these products
* Bachelor's degree from accredited university
* Must have working knowledge of the products covered as well as relevant CFTC, CME, FERC and other relevant rules and regulations; knowledge of electronic and algorithmic trading also helpful
* Strong organizational skills and capable of dealing with multiple projects simultaneously;
* Good interpersonal skills and effective writing, analytical and communication skills;
* Understanding of trading systems and basic programming knowledge;
* Proficient in conducting in-depth analysis of trading systems designs, identifying and escalating potential regulatory issues;
* Bachelor's degree required preferably in business or finance majors
* Ability to write and speak articulately and concisely
* Strong client management skills
Preferred Qualifications:
* MBA is a plus
Equal Opportunity Employer: We value diversity and do not discriminate based on Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.
To apply, please send your resume to careers@financegurucg.com with the title in subject line.