Vice President of Compliance Officer - Confidential : Job Details

Vice President of Compliance Officer

About the Company

Prestigious investment bank

IndustryInvestment Banking

TypePrivately Held

About the Role

The Company is seeking a Vice President Compliance Officer with a focus on Fixed Income Sales and Trading. The successful candidate will be responsible for providing real-time advisory services to the credit business, identifying and advising on regulatory trends and developments, and ensuring compliance with firm policies, procedures, and applicable securities laws. This role involves drafting, updating, and implementing relevant policies and procedures, as well as providing regulatory and compliance training. The Vice President Compliance Officer will also be involved in internal investigations, responding to regulatory inquiries, and coordinating audits and inspections.Applicants for the Vice President Compliance Officer position at the company should have a strong background in compliance within the financial services industry, particularly in the fixed income sales and trading space. The role requires the ability to make and defend complex regulatory decisions, as well as to project confidence and professionalism in interactions with senior business personnel. Key skills include the ability to conduct risk assessments, support a global compliance monitoring program, and ensure an effective business control framework. The ideal candidate will be adept at working in a fast-paced, high-pressure environment and will have a proven track record of interacting with federal and state regulators. A proactive approach to identifying and addressing compliance issues is essential.

Travel PercentLess than 10%

Functions

• Finance