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Compliance Director-Product-10004603 Job Details

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Compliance Director-Product-10004603 (Ref: 100305-KD-10)
Sector, Sub Sector: Capital Markets
Compliance Type: Regulatory/Compliance
Expertise: -
Company: Citigroup
Location: New York Americas, United States
Employment Type: Permanent
Job Description:

Description
 
The CCA Fixed Income compliance officer will assess the regulatory risks related to each of the fixed income trading desks, train and advise the desk personal regarding these regulatory issues, design and implement processes to monitor the trading of each these desks.  The CCA business operates through registered investment adviser. The compliance officer must be familiar with the SEC rules applying to RIAs and  fiduciary obligations generally, and apply these requirements to the implementation of a comprehensive compliance program for CCA Fixed Income.

Qualifications
 This compliance officer must be familiar with the regulation of fixed income trading in a registered investment adviser.  He/she must have general familiarity with fixed income products, and the ability to understand new products. He/she must have five years experience in trading compliance and at least five years engaged in fixed income activity.  Experience with buy side advisory business is helpful but not required.
Job Ref No: 100305-KD-10