Fixed Income Advisory Compliance

3 weeks ago

London, United Kingdom Black Swan Group Full time

Fixed Income Advisory Compliance Officer

We are seeking a highly motivated and detail-oriented Fixed Income Advisory Compliance Officer to join our client. In this role, you will be responsible for ensuring that their fixed income advisory business operates in compliance with all applicable regulatory requirements.

Responsibilities:

  • Develop and implement compliance policies and procedures for the fixed income advisory business.
  • Monitor and review advisory activities to ensure compliance with regulatory requirements.
  • Conduct regular compliance risk assessments and assist in the development of risk mitigation strategies.
  • Stay up-to-date with changes in regulatory requirements and industry best practices related to fixed income advisory compliance.
  • Provide training to employees on compliance-related matters.
  • Investigate and respond to compliance-related inquiries and incidents.
  • Maintain accurate records and reports related to compliance activities.

Requirements:

  • Bachelor's degree in finance, business, or a related field.
  • Experience in a compliance role within the financial services industry, with a focus on fixed income advisory compliance.
  • Strong knowledge of relevant regulatory requirements and industry best practices.
  • Excellent communication and interpersonal skills.
  • Ability to work independently and as part of a team.
  • Strong analytical and problem-solving skills.

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