Fixed Income Research
Compliance Director, Fixed Income Research The Compliance Director for Fixed Income is part of the Firm's Research Legal and Compliance group that provides advice and support to the Equity and Fixed Income Research Departments and Control Rooms globally.
The position reports to the Deputy Director and Counsel of Global Compliance.
The Compliance Director will be primarily responsible for advising and supporting the Fixed Income Research Department but will also work closely with the Equity Research Compliance Director on issues and developments that impact both research groups.
Responsibilities: Responsible for overseeing compliance efforts with respect to Department and Firm policies, particularly those that relate to managing conflicts of interest in connection with research; Advise research analysts, research management about applicable laws and regulations, industry guidelines and best practices, including Regulation AC, BMA Guiding Principles, US Securities laws and NYSE and NASD Rules; Create and maintain written compliance policies and procedures, and draft written supervisory procedures; Advise Research Department about new products and initiatives and review research publications for compliance with applicable rules and policies.
Conduct annual compliance meetings for Fixed Income Research Department and other compliance training sessions; Represent Research Compliance at the quarterly meetings of Fixed Income Supervisory Control Unit Coordinate with non-US offices on the impact of other jurisdictions regulatory initiatives addressing research conflicts and the extraterritorial impact of US law and regulation.
Provide regulatory support to Fixed Income Research Department by assisting with audits, inquiries, investigations, and interaction with Regulators as they relate to the Research business.
Requirements: Bachelor's Degree (or equivalent), JD strongly preferred Five plus years of Legal or Compliance experience advising and supporting Research including Fixed Income Research.
Ability to work in a time sensitive and extremely fast paced environment.
Strong attention to detail required and an analytical approach to problem solving.
Strong interpersonal and communication skills Excellent organizational sills and ability to multi-task.
To apply please send your resume to Jack Kelly at jkelly [at] compliancesearch [dot] com
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