Markets Compliance Job Description

Markets Compliance Job Description

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Markets compliance provides real-time advice to the business and business management staff on regulatory and compliance issues, particularly Dodd-Frank requirements;.

Markets Compliance Duties & Responsibilities

To write an effective markets compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included markets compliance job description templates that you can modify and use.

Sample responsibilities for this position include:

Research and respond to SEC, FINRA and MSRB regulatory inquiries
Monitor for regulatory changes and update written supervisory procedures to address Firm policies and procedures SEC, FINRA and MSRB rules and regulations
Provide in-depth knowledge and experience with respect to rules and regulations applicable to assigned business areas
Provide appropriate real time support, advice and training to the relevant front office and infrastructure personnel
Review, interpret and implement rule proposals and amendments relevant to assigned business areas (including, for example, applicable Dodd Frank regulations)
Develop and implement appropriate Compliance policies and procedures
Develop and execute appropriate verification procedures to confirm compliance with relevant requirements
Evaluate and provide feedback and signoff on new products and business activities
Provide input and guidance with respect to marketing materials and other communications with the public
Assist as appropriate in connection with operational matters relevant to assigned business areas (including, for example, with respect to trade reporting, clearing, settlement, and systems development)

Markets Compliance Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Markets Compliance

List any licenses or certifications required by the position: AML, CRCM, QALICB, MBA, CIA, CPA, ACAMS

Education for Markets Compliance

Typically a job would require a certain level of education.

Employers hiring for the markets compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Primary Degree in Business, Legal, Financial Services, Law, Finance, MBA, Management, Accounting, Graduate, Religion

Skills for Markets Compliance

Desired skills for markets compliance include:

SEC
General trading rules and regulations
Regulatory requirements in Hong Kong and exposure to regional regulations
Ability to learn them
Access
Asia market trading rules
Businesses
Compliance risk avoidance
Dodd Frank and EMIR regulatory requirements
Dodd Frank requirements

Desired experience for markets compliance includes:

Assist and advise as appropriate with respect to information barriers and related controls, licensing requirements, supervision, and other related issues
Coordinate globally with colleagues in other regions / jurisdictions, and advise and manage issues relating to cross border activities (including, for example, implementation of Exchange Act Rule15a-6)
Manage Markets-wide projects with applicability to Client Capital Management impact
10+ years experience in US laws and regulations applicable to structuring and markets products
Relevant advanced degree in law and / or business / finance (for example, JD and/or MBA)
Relevant experience outside of Compliance (for example, regulatory, law, finance or audit related experience)

Markets Compliance Examples

1

Markets Compliance Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of markets compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for markets compliance
  • Liaising directly with the MAS on licensing and regulatory requirements
  • Assist in the enforcement of Firm Policy and Procedures
  • Assist with coordinating institutional branch review process
  • Assist with reviews of various business units
  • Creating and maintaining various Excel spreadsheets for the department
  • Create presentations and training materials using PowerPoint
  • Supporting the Regional Head of Markets Compliance on compliance and strategic initiatives
  • Preparation of reports, presentations, meeting materials for the Markets Compliance Management
  • Providing planning support and project management covering compliance, regulatory developments and training
  • Manages a team in a global markets operations support function in product areas
Qualifications for markets compliance
  • 10+ years Market experience (particularly fixed income, structured products and transactions)
  • Relevant financial and professional FINRA licenses and/or other professional qualifications (for example, CPA, CFA)
  • Specific experience in markets (fixed income and/or equities), structuring, and / or portfolio management
  • Excellent work ethic, judgment and integrity
  • Ensure that the AML program is aligned with the regulatory requirements the firm's business objectives
  • Self-initiative and a team player
2

Markets Compliance Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of markets compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for markets compliance
  • Draft and implement policies and procedures to set consistent standards across businesses or product lines
  • Advisory of the FICC business including rates, structured products, DCM, syndicated loans, treasury, offshore RMB
  • Provide compliance advice and guidance to Markets business in China to ensure all the related local and Group compliance requirement are adhered to, in particular in areas of various market making qualifications, custodian license, cross border RMB business & Shanghai FTU business
  • Establish and maintain good working relationship with the regulatory authorities and exchanges
  • Able to work well under your own initiative and results driven
  • Able to balance multiple high profile projects and deliverables and thrive in a high pressure environment
  • Working very closely with the markets business to provide compliance and regulatory advice
  • Establishing / reviewing policies and procedures in accordance with regulatory requirements and firm policy
  • Support the Head of AML Compliance Europe & Asia in meeting all regulatory and legislative requirements
  • Development and delivery of Capital Markets policies and procedures to ensure appropriate local polcies & procedures meet with Enterprise Policy, Control Standards & Guidance
Qualifications for markets compliance
  • An individual who is motivated, able to work independently, team player who is able to interact with other control functions to deliver on goals and objectives
  • Licenses or registrations relevant to the products supported are preferred
  • At least 5 years of full-time experience in Capital Markets specifically related to compliance, legal, audit, or finance
  • 10 years of full-time experience in Capital Markets specifically related to compliance, legal, audit, or finance
  • Some knowledge of shipping and the export / import business
  • Knowledge of Fidessa, Bloomberg, and Microsoft applications
3

Markets Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for a markets compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for markets compliance
  • This position will report to the Head of Markets Regulatory Compliance, a group that provides coordination, oversight, and advisory services on applicable U.S. and international regulations
  • A strong emphasis on Dodd-Frank Act Regulations, Swap Dealer Rules, and Volcker Rule-related responsibilities, including interpretation and application of cross-border regulatory requirements
  • Advise Compliance and Business management and staff on regulatory and compliance issues strategic implications
  • Provide regulatory guidance to employees, departments and project teams regarding design, design, development, evaluation, and marketing of products
  • Partner with other Compliance teams and global functions, including Legal, Middle Office, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance
  • Lead initiatives and manage high-impact special projects with a results-driven focus, including coordinating the implementation of new regulatory requirements and compliance program design
  • Identify, analyze, and scope the enterprise-wide impact of
  • Investigate internal and external incidents/complaints, and prepare documentation and submissions to appropriate regulatory agencies as necessary
  • Participate in industry groups and trade association working groups or other forums
  • Proactively review, design, and enhance processes and/or controls
Qualifications for markets compliance
  • Must have experience with Microsoft Excel and Word
  • Some financial market knowledge is preferred
  • Degree in a law, finance and other relevant fields is very desirable
  • Wide knowledge of Global Banking & Markets business, including products
  • Previous brokerage operations experience, preferably in an accounting, settlements or control department
  • Knowledge of FINRA rules and regulations- Reg T, 15c3-3, 17a-13
4

Markets Compliance Job Description

Job Description Example
Our company is looking for a markets compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for markets compliance
  • Role Context
  • To support the Head of AML Compliance Europe & Asia in meeting all regulatory and legislative requirements
  • Deputise for the Director AML Compliance CM & IST Europe in their absence
  • Development and delivery of Capital Markets and Investor Services Trust policies and procedures to ensure appropriate local polcies & procedures meet with Enterprise Policy, Control Standards & Guidance
  • Support UKFCC projects or other CM / I&TS projects as required
  • Self-motivated and results-driven, you will be able to balance multiple high profile projects and deliverables and thrive in a high pressure environment
  • Assisting the business and the supervisory function in developing, implementing, and improving the supervisory framework providing adequate solutions to regulatory problems and compliance issues
  • Perform all aspects of compliance related to NTCIC’s NMTC program
  • Ensure NTCIC is in compliance with allocation agreements and IRS requirements and prepare/maintain necessary documentation
  • Perform bi-annual substantially all tests in accordance with IRS regulations
Qualifications for markets compliance
  • Advise on local regulatory requirements for new initiatives branch-wide matters
  • University degree in business/law
  • Working knowledge with local regulatory framework and in HK
  • Actively participate in business initiatives/projects, acting as the primary risk and compliance representative on steering committees/ working groups
  • Senior member of the EMEA risk and compliance management team, actively contributing to the running of the department
  • Management of the Capital Markets and Treasury compliance team, sharing technical knowledge and experience with team members
5

Markets Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for a markets compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for markets compliance
  • Review project information and determine CRA eligibility
  • Review and critique Community Benefit Agreements
  • Maintain a project checklist ensuring that all required NMTC documents are collected
  • Be a critical team member in the preparation of the annual NMTC Application
  • Collect and maintain project data required for overall portfolio analytics, quarterly and annual reporting, and the annual NMTC Application
  • Support the NTCIC acquisitions and asset management teams for project closings, including assisting with the preparation of investment committee materials, followed by ongoing oversight through exit
  • Prepare reports to senior management, the NTCIC Board, investors and the CDFI Fund
  • Maintain compliance policies and procedures manual
  • Provide Compliance support to business and corporate projects as required, including those relating to regional governance, acquisitions/divestitures, remuneration, and new tax initiatives
  • Contribute to the effective governance of the EMEA region
Qualifications for markets compliance
  • Experience of having operated at a senior level within brokerage/trading environments
  • Managed and implemented key regulatory initiatives
  • Experience of dealing with senior manager/key stakeholders with the ability to persuade and influence at all levels
  • Good project management skills with track record of project delivery
  • Designed and implemented compliance control frameworks
  • Focussed client relationships

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