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The Fixed Income Compliance Officer will be required to partner with the U.S. Fixed Income business to work proactively to maintain, enhance and develop a robust fixed income compliance framework and program.
Job Responsibilities
Responsible for compliance activities for BGI’s U.S. Fixed Income group including Hedge Funds, Active and Index Strategies, and structured transactions, such as CDOs.
The breadth of compliance activities includes trading-related oversight, portfolio guideline testing, oversight of ERISA-related account restrictions and regulatory requirements, etc.
Must have extensive fixed income product knowledge as well as structured products and credit derivatives including CDOs, MBS, and ABS.
Extensive interaction with U.S. Fixed Income portfolio management and trading teams and Legal department.
Provide regulatory guidance on fixed income investment transactions and monitor compliance with investment guidelines and restrictions.
Ensure appropriate controls and policies and procedures are in place for current fixed income business as well as new fixed income business initiatives.
Establish policies and procedures in accordance with regulatory requirements and firm policy; update existing compliance policies and procedures when necessary.
Conduct compliance training for fixed income business personnel.
Participate in related fixed income industry trade groups with intent of having an impact on how the regulatory environment is developing.
Assist with coordination and management of regulatory exams.
Special projects as required.
Qualifications
10+ years experience in fixed income compliance, legal or regulatory functions. Minimum advanced degree (MBA/JD) and/or professional designation beneficial. Must have prior experience in designing, implementing and supervising fixed income related compliance activities.
Candidate should have excellent organizational, negotiating and inter-personal skills; should be solutions driven, confident, highly motivated and organized team player with impeccable integrity.
Candidate should have extensive experience with portfolio management and trading floor personnel.
Candidate should be able to act decisively and independently in situations requiring quick analysis and decision making.
Candidate must be able to work NYSE and/or bond market-hours if/when necessary.
Excellent written and verbal communication skills are also required.
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