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Senior Director of Compliance, Global Markets
2 months ago
Job Summary
Darmax Global is seeking a highly experienced Compliance Leader to join our team as Senior Director of Compliance, Global Markets. This is a critical role that requires a deep understanding of regulatory frameworks and compliance policies.
Key Responsibilities
- Serve as the primary point of contact for compliance guidance to the Global Markets business, providing expert advice on regulatory matters related to transactions, new products, business initiatives, and errors.
- Collaborate with trading desks to ensure that all transactions align with regulatory requirements and internal guidelines, focusing on fixed income products.
- Manage compliance-related inquiries, communications, and reporting specific to fixed income trading with regulatory bodies.
- Create and maintain compliance policies and procedures, ensuring they reflect current regulations and industry best practices.
- Design and implement compliance training programs specifically focused on fixed income products and trading compliance for relevant personnel.
- Establish a comprehensive monitoring and auditing framework to ensure compliance with trading regulations and to identify potential breaches in real-time.
- Prepare and present compliance reports to senior management and the board, focusing on compliance risks, trading activities, and the effectiveness of compliance programs.
Requirements
- Education: Bachelor's degree in finance, law, business administration, or a related field. A Master's degree or relevant professional certification (e.g., CAMS, CRCM) is highly desirable.
- Experience: Minimum of 10 years of compliance experience in investment banking, with a strong emphasis on trading advisory for fixed income products.
- Regulatory Knowledge: Deep understanding of the regulatory frameworks affecting fixed income trading and investment banking operations.
- Analytical Skills: Strong analytical and problem-solving abilities, with a knack for interpreting complex regulatory requirements in the context of trading.
- Leadership: Proven leadership skills, with experience managing and developing a compliance team focused on trading activities.
- Communication: Exceptional verbal and written communication skills, capable of effectively engaging with traders, senior management, and regulatory agencies.