Director Fixed Income & Municipal Bond Securities Compliance

Broker dealer located in Midtown Manhattan looking to bring on board a “Director Fixed Income & Municipal Bond Securities Compliance” to join their team. This role is currently in a hybrid schedule (3 days in office / week).

Responsibilities:

• Manage Compliance personnel supporting the Fixed Income and Municipal Securities Business lines
• Provide day to day advice across all FI and Municipal Securities Businesses ensuring strategic consistency across desks
• Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
• Support the Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping, control mapping and ongoing compliance assessment process.
• Identify regulatory trends and developments that impact business areas and advise staff as to how this may impact their current activities.
• Draft, update, and implement relevant policies and procedures.
• Provide regulatory/compliance training.
• Assist the business on implementing and documenting various supervisory/control mechanisms.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
• Interact with federal and state regulators
• Analyze new regulations and conduct business-based analysis and execute requite implementation.
• Provide ongoing reporting to senior management
• Develop and deliver proactive strategies and tactics that support compliance/business objectives