VP Compliance Advisory - Fixed Income (Rates)

Responsibilities:

Serve as the primary point of contact for Compliance-related matters pertaining to the rates business.
Conduct in-depth analysis of regulatory requirements, assess their impact on business operations, and provide proactive guidance to relevant teams.
Develop and maintain compliance policies, procedures, and controls specific to fixed income rates, ensuring alignment with industry best practices and regulatory expectations.
Collaborate with business units to identify and address compliance risks, providing guidance on product development, deal structuring, and client interactions.
Conduct compliance training and awareness sessions to enhance the understanding of regulatory obligations within the fixed income rates space.
Perform regular compliance monitoring, testing, and surveillance activities to identify and mitigate potential compliance breaches.
Participate in regulatory examinations and internal audits, ensuring prompt resolution of any identified issues.
Stay abreast of industry trends, regulatory developments, and emerging risks related to fixed income rates, and communicate updates to relevant stakeholders.

Qualifications:

Bachelor's degree in Finance, Business, Law, or a related field. Advanced degree or professional certifications (e.g., CAMS, CFA) is a plus.
Experience in Compliance within the investment banking or financial services industry, with a strong focus on fixed income.
In-depth knowledge of regulatory requirements and industry best practices governing fixed income rates, such as Dodd-Frank, MiFID II, Volcker Rule, etc.
Strong analytical skills with the ability to interpret complex regulations and assess their impact on business operations.
Excellent communication and interpersonal skills, with the ability to collaborate effectively across all levels of the organization.
Proven track record of implementing compliance programs, policies, and procedures within a fixed income rates context.
Detail-oriented mindset, with the ability to prioritise tasks, meet deadlines, and manage multiple projects simultaneously.

For details please get in touch chris.roots@investigo.co.uk

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