VP, Fixed Income Compliance

As a core member of the Compliance team, you will serve as a subject matter expert on securities industry regulations and firm policies related to the GreensLedge businesses, ensuring adherence while enabling business growth., * Advisory & Support: Provide hands-on compliance guidance to GreensLedge. Collaborate closely with front-office professionals to interpret regulations, apply firm policies, and support business objectives in real time. You will be heavily integrated with GreensLedge.

• Program Integration and Oversight: Manage and enhance compliance processes, policies, and procedures to ensure adherence to regulatory requirements, as GreensLedge is integrated into the enterprise compliance program. Lead compliance-related projects and change initiatives from inception through completion, including cross-department coordination. Prepare presentations for business and compliance leadership.
• Regulatory Analysis: Research and analyze new or updated regulations to assess impact, identify trends, and implement necessary changes.
• Operational Review: Ensure compliance with regulatory requirements related to operations/middle office functions.
• Process Enhancement: Identify, recommend and collaborate with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
• Monitoring & Reporting: Oversee exception reports, review corrective actions, and prepare compliance reports for management and regulators.
• Representation: Serve as a compliance liaison on internal committees and represent the firm at industry conferences or regulatory forums.

Advanced Knowledge of:

• Concepts, practices and procedures of securities industry compliance, specifically focused on structured products from both a broker-dealer and investment adviser perspective.
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
• Concepts, practices and procedures used in the securities industry.
• Principles of finance and securities industry operations.
• Financial markets and products.

Advanced Skill in:

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Identifying and applying appropriate compliance monitoring procedures and tests.
• Preparing oral and/or written reports.
• Investigating compliances issues and irregularities.
• Making rule-based and analytical decisions.
• Strong verbal and written communication.
• Operating standard office equipment and using required software applications.

Ability to:

• Partner with other functional areas to accomplish objectives.
• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
• Attend to detail while maintaining a big-picture orientation.
• Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.
• Work independently as well as collaboratively within a team environment.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in laws, rules and regulations related to compliance in assigned functional area.
• Interpret and apply policies and identify and recommend changes as appropriate.
• Quantitatively and/or qualitatively process data.
• Formulate and implement department strategies consistent with long-term company goals.
• Promote team cohesiveness, cooperation, and effectiveness.

• Bachelor's Degree (B.A./B.S.) in a related discipline required with a Master's degree preferred. Minimum of twelve (12) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
• Minimum ten (10) years management experience within the financial services industry., * Any equivalent combination of experience, education, and/or training approved by Human Resources., * Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred