Head of Fixed Income Compliance - Larson Maddox
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Head of Fixed Income Compliance - Larson Maddox

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Head of Fixed Income Compliance - Larson Maddox

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Head of Fixed Income ComplianceOur client, an international Capital Markets group, is looking to hire an experienced Compliance professional at either senior Executive Director or junior Managing Director level who will provide leadership and direction to a specialist Compliance Advisory team whose mandate is the provision of Fixed Income Compliance advice and guidance to senior leaders and key members of the firms growing public side Capital Markets business. The firm are one of the worlds leading public side Capital Markets groups whose global presence continues to go from strength to strength as they work on some of the highest profile transactions. The Fixed Income business, among others, has been identified as a key growth area of the firm as such this role is the first of several new hires to be signed off in fast growing specialist group.

Head of Fixed Income ComplianceOur client, an international Capital Markets group, is looking to hire an experienced Compliance professional at either senior Executive Director or junior Managing Director level who will provide leadership and direction to a specialist Compliance Advisory team whose mandate is the provision of Fixed Income Compliance advice and guidance to senior leaders and key members of the firms growing public side Capital Markets business. The firm are one of the worlds leading public side Capital Markets groups whose global presence continues to go from strength to strength as they work on some of the highest profile transactions. The Fixed Income business, among others, has been identified as a key growth area of the firm as such this role is the first of several new hires to be signed off in fast growing specialist group.You will report directly into the Chief Compliance OfficerThe Head of Fixed Income Compliance will be responsible for…

• Leading the group responsible for the provision of specialist product and business Compliance Advice to key stakeholders and senior leaders in the Fixed Income business focusing among others, on Controls as well as Policy & Procedures.
• Engagement with Regulators for regulatory approvals
• Working closely with Fixed Income and other key business leaders to implement regulatory initiatives
• Oversee the development of Controls for the Fixed Income Business.

The Head of Fixed Income Compliance should have the following qualifications…

• 15+ years of relevant Compliance Advisory experience within a larger institutional Fixed Income business with significant experience of managing a Fixed Income Compliance team
• Experience of working with Regulators including FINRA and SEC
• Excellent, broad Fixed Income product knowledge is essential with the firms product offering including but not limited to Rates, Swaps, Treasury, Corporate Bonds, Munis, FX and more
• Securities Industry registration - not essential but a nice to have series 7 and 24
• Exceptional analytical, technical and communication skills

Seniority level

• Seniority levelExecutive

Employment type

• Employment typeFull-time

Job function

• Job functionFinance and Sales

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