- 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.
- 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.
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