Responsibilities:Provide expert compliance advice and guidance to the FICC business lines, ensuring adherence to relevant regulatory requirements, internal policies, and industry best practices.Stay updated on the evolving regulatory landscape and assess the impact on FICC activities, providing proactive recommendations and solutions to mitigate compliance risks.Collaborate with front-office business units to review and approve new products, initiatives, and transactions from a compliance perspective.Conduct compliance risk assessments and assist in the development, implementation, and enhancement of compliance policies, procedures, and controls.Act as a subject matter expert on FICC compliance matters, providing training and guidance to employees on regulatory requirements and best practices.Assist in regulatory examinations, audits, and inquiries, ensuring timely and accurate responses.Requirements:Bachelor's degree in a related field; advanced degree preferred.Extensive experience in FICC compliance within a financial institution or regulatory agency.Strong knowledge of relevant regulations, including but not limited to SEC, CFTC, FINRA, and NFA rules.Solid understanding of fixed income, currencies, and commodities products, trading strategies, and market practices.Proven ability to provide effective compliance advice and support to front-office business units.Excellent analytical and problem-solving skills, with the ability to assess complex compliance issues and provide practical solutions.Strong communication and interpersonal skills to effectively collaborate with stakeholders at all levels of the organization.Professional certifications such as CAMS, CFA, or Series licenses are a plus
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