Inter-Dealer Broker (Fixed Income)/E-Trading - Compliance Director
Analytic Recruiting - New York, NY

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An Inter-Dealer Broker in NY is looking for an experienced Compliance Director to design and manage the compliance infrastructure for the firm's Fixed Income Inter-Dealer Broker business. This senior position will work closely with Legal, Middle-Office, Sales Management, Operations,Technology, Control Teams, Business Risk and external regulators. The Candidate must have 7+ years of compliance experience working for a major inter-dealer broker or fixed income trading firm in a senior management role, and have in depth knowledge of SEC, FINRA, OCC, and Federal Reserve compliance regulations. The role is for someone who has a strong business sense and can set policy and be the firm's representative for the Business with government regulators. Knowledge of Fixed Income Trading, Credit Derivatives and Derivatives Execution is required.

Recruiter: Jim Geiger

Analytic Recruiting - 15 months ago - save job - block
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