Our client is a very well respected, global nvestment bank who is thriving in the current market.
The Candidate will be responsible for the following:
Compliance coverage for the Interest Rate Products Group (Government Bonds, Agency, Repo, Strategic Swaps, Options) sales and trading desk and the GFX sales and trading desk.
Assist in development and rollout of additional surveillance reports, identify trends and areas of weakness where additional compliance scrutiny and review are required
Assist in development and rollout of supervisory reports and supervisory checklists
Advise business personnel on new rules and regulations
Coordinate with Legal, New Products, Compliance, Operations, Credit, IT, Control Room and other areas to ensure the appropriate controls are in place for current and new businesses
Establish and update policies and procedures in accordance with regulatory requirements and firm policies
Handle regulatory inquiries, examinations and internal audits
Respond to transactional questions from the business side
Presence on the trading floor
Primary access approver and reviewer of the restricted area rooms
Handle QIB inquiries
Assist with information barrier-related issues
Participate in Compliance and certain Front Office meetings
Create and provide compliance training to business personnel
