Job Summary & Responsibilities

This is a trading floor based compliance function with the primary focus to provide real time support to the FICC Division and additionally to continuously maintain the standards of conduct required of the Firm’s businesses as well as the laws, regulations and policies governing these businesses in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation.

Principal Responsibilities

• Based on the New York  trading floor, will work as part of the European Securities Division Compliance Team. The candidate will be required to work closely with sales, structures, traders and also other departments, such as Legal, Controllers, Credit and Internal Audit.
• Primary coverage focused on the Foreign Exchange and Interest Rate Product businesses in their day to day business operations, providing advice on individual transactions (particular focus on OTC derivatives), new products and business initiatives
• Actively manage the regulatory and legal risks of covered business units.
• Provide advice on policies, procedures and regulations that impact firm activities and employee conduct
• Develop, draft and implement policies and procedures in response to regulatory and business changes
• Develop and deliver compliance training programs for Securities Division personnel
• Participate in regulatory and internal investigations and audits
• Review and assist in the design of surveillance reports
• Conduct regular and one-of forensic reviews (transactions, communications etc)
• Monitoring of sales and  trading activity to ensure compliance with appropriate rules, regulations and firm policies
• Review of marketing material

Basic Qualifications

• 2+ years of compliance or relevant industry experience
• Good understanding of FICC products
• Must be a proactive team player
• Quick learner who can adapt well to a fluid regulatory and business environment
• Ability to handle multiple tasks simultaneously and work under pressure
• Self-starter with the ability to work effectively autonomously.
• Strong communication/presentation skills
• Should be detail oriented and enjoy fact-gathering and investigation

Excellence Corporate Consulting is an equal opportunity employer. © The Excellence Corporate Consulting, Inc., 2017. All rights reserved.