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Institutional Sales and Trading Swap Dealer and Security-Based Swap Dealer Compliance Coverage
DESCRIPTION: A Global bank seeks a Compliance Officer to join the Institutional Securities Group (ISG) Sales and Trading Compliance Coverage group in its Global Compliance Department. The Sales and Trading Compliance Group in Institutional Securities Compliance advises and assists the Firm's Sales and Trading Division (both its Institutional Equities and Fixed Income Divisions) in establishing, implementing and enforcing sales and trading practices. The Group is responsible for reviewing business, compliance and supervisory processes and practices. The Group will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations and promote best practices. On a day-to-day basis, the position supports the Co-Heads


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