FICC Compliance Officer

New York, NY

Job Function:

The FICC Compliance Officer  will be responsible for assisting in the continued build out of the Company’s Institutional Solutions compliance program, including:
· Supporting the Company’s Institutional Solutions and FX market making businesses of the Securities Group
· Providing compliance coverage with respect to all client-facing sales and market making activities across various products (e.g. US Treasuries, FX, fixed income-based swaps and futures)
· Help carry out the swap dealer compliance program
· Enhancing and developing controls, policies and procedures, which includes written supervisory policies and procedures addressing:
o Information barriers
o Mark-ups
o Client disclosures
o Communications with the public
o Trade reporting
o Risk management controls
o Client onboarding
· Responding to regulatory inquiries
· Managing regulatory examinations
· Conducting training


  • Bachelor's Degree required; ideally in Finance, Business or Accounting;  MBA preferred
  • 3-7 years relevant experience in a Financial Institution

Contact Details:

Steven Cebel

914-524-0301 ext 126