What are the responsibilities and job description for the Compliance Officer – Fixed Income Sales & Trading - Credit - Vice President position at Madison-Davis, LLC?
Investment bank located in Midtown Manhattan looking to bring on board an “Compliance Officer – Fixed Income Sales & Trading - Credit - Vice President” to join their team. The firm is currently in a hybrid model (3 days in office).
Responsibilities:
• Provide real-time advisory services to the Credit business within FIC Sales & Trading; identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities
• Advise 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, and coordinate internal and external audits and inspections; interact with federal and state regulators
• Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan
• Perform testing and monitoring of compliance with Firm policies and conduct risk assessments of the Business to ensure effective business control framework
Salary : $160,000 - $200,000
