Investment Banking
New York, New York – $130,000-170,000
Gresham Hunt has been mandated by one of our Investment Banking clients to find a Compliance Advisory Officer.
Our client is an investment bank with trading operations across Fixed Income and FX. They are a dynamic firm, and this role comes with good exposure to a wide range of wholesale banking compliance matters.
This is a VP grade position, and you will be responsible for advising the business across TRACE Reporting, Primary Dealer and CFTC Swap-Dealer Rules, and FINRA regulations. You will be responsible for responding to front office enquiries at speed. You will report into the Director for Compliance Advisory.
Successful candidates will have:
- 3+ years of Regulatory Compliance experience, within a policy, advisory, surveillance or monitoring/assurance context
- Great knowledge of capital market products, especially Fixed Income and FX
- Great knowledge of wholesale compliance regulations, including (but not limited to) BrokerDealer, Swap-Dealer, FINRA and SEC
- Ideally a JD or regulatory compliance qualification
Candidates must be based in the US with full and unrestricted right to work. Unfortunately visa sponsorship is not available at this time.
For more information, please forward your resume to: john.bute@greshamhunt.com