Global Markets Compliance - Compliance FICC - Support

Title: Global Markets Compliance - Compliance FICC - Support
Location: New York, NY
Duration: 9 Months
Payrate: $ 70/ hourly

Regular Business Hours 9 to 6 or 8 to 5 (Onsite)

Duties:
Position Overview:

The role of a Compliance Officer covering Global Banking & Markets - FICC, macro products is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the FICC business by articulating and maintaining the standards of conduct required of the firm's businesses as well as the laws, regulations and policies governing those businesses. Business aligned compliance provides coverage support to the Business Unit's functional (including sales, trading, and capital markets) and product areas (fixed income, equities, options, etc.), while working closely with other firm departments, including Finance, Operations, Technology, Internal Audit and Legal.

Skills:
Responsibilities:

• Cover Global Banking & Markets - FICC personnel (including sales and trading personnel) and provide advice and oversight on how to conduct the firm's business in a manner that complies with the vast array of rules, regulations and regulatory expectations
• Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
• Create and implement Compliance training programs
• Perform look-backs, oversight and surveillances to assess compliance risks and breaches
• Assist with regulatory engagement including regulatory examinations, audits and inquiries
• Analyze industry events, new or amended laws, rules, and regulations in order to formulate and implement practical and sustainable solutions to industry-wide issues
• Coordinate with the business, Legal, Technology and other divisions across the firm on new desk initiatives
• Engage with senior business leaders on compliance issues

Skilks and Experience:

• Dynamic individual with 4-6 years of compliance, legal, audit or other control function experience covering FICC asset class including Rates (cash and derivatives)
• Excellent practical understanding of FICC asset classes with experience on a trading floor
• Pro-active, self-motivated, assertive and well organized
• Ability to work independently and yet remain a strong team player
• Forward looking, focused on improving and streamlining controls and processes
• Excellent communication skills both written and oral\
• Proactive approach to problem solving
• Deep interest in the financial markets and a willingness to continually learn
• Excellent understanding of US regulations (FINRA, CFTC, SEC, NFA, Futures Exchanges...)
• Identify and effectively escalate potential issues to appropriate person(s)
• Meet tight deadlines and comfortably operate in the face of time constraints
• Persistently follow-up with colleagues to ensure that appropriate information is obtained and timely recorded

Education:

• Bachelor's Degree Preferred

Below is the brief introduction of SPECTRAFORCE, the benefits we offer and the disclaimers:

Established in 2004, SPECTRAFORCE is one of the largest and fastest-growing diversity-owned staffing firms in the US. The growth of our company is a direct result of our global client service delivery model that is powered by our state-of-the-art A.I. proprietary talent acquisition platform, robust ISO 9001:2015/ISO 27001 certified processes, and strong and passionate client engaged teams.
We have built our business by providing talent and project-based solutions, including Contingent, Permanent, and Statement of Work (SOW) services to over 130 clients in the US, Canada, Puerto Rico, Costa Rica, and India. Key industries that we service include Technology, Financial Services, Life Sciences, Healthcare, Telecom, Retail, Utilities and Transportation.

SPECTRAFORCE is built on a concept of "human connection," defined by our branding attitude of NEWJOBPHORIA, which is the excitement of bringing joy and freedom to the work lifestyle so our people (and clients) can reach their highest potential. Our entire workflow and teams are trained to cultivate the joy of NEWJOBPHORIA with candidates and employees throughout their engagement with SPECTRAFORCE.

Benefits: SPECTRAFORCE offers ACA compliant health benefits as well as dental, vision, accident, and hospital indemnity insurances. Additional benefits SPECTRAFORCE offers to the eligible employees include commuter benefits, 401K plan with matching and a referral bonus program. SPECTRAFORCE offers unpaid leave as well as paid sick leave when required by law.

Equal Opportunity Employer: SPECTRAFORCE is an equal opportunity employer and does not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, sexual orientation, gender identity, genetic information, disability or veteran status, or any other category protected by applicable federal, state, or local laws. Please contact Human Resources at nahr@spectraforce.com if you require reasonable accommodation.