Company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethics. Company can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation. The Fixed Income Division ("FID") Compliance Group provides a comprehensive advisory and control service to the Fixed Income Division to monitor business activities for adherence to both Firm and regulatory requirements. The FID Compliance Group is divided into two coverage areas: 1) Interest Rates/Macro and Municipals; and 2) Credit and Securitized Products, and has advisory, review, training and reporting responsibilities, among others. Duties: The Compliance Department is seeking junior or mid-level compliance officer or attorney to join the Fixed Income Compliance Advisory Team. The candidate will be part of a dynamic team of compliance professionals responsible for providing real time advisory services to Fixed Income Sales and Trading professionals with primary focus on the coverage of Securitized Products. The group works closely with these clients, serving as a valuable partner in addressing regulatory matters in a manner consistent with achieving regulatory objectives, Company policies, and business goals. - Provide real time advice to fixed income sales, trading, desk analysts and structurers, on regulatory and policy issues. - Monitor, analyze, and interpret new rules and regulations, and identify and address any gaps between existing processes and new regulatory requirements. - Participate in industry initiatives relating to new regulations and other issues. - Draft policies and procedures and advisory bulletins. - Conduct Compliance training regarding new and existing regulations and policies. - Assist in preparing responses to regulatory inquiries from the SEC, FINRA, and other regulators. - Coordinate with colleagues in Legal, Compliance and other control groups on initiatives including surveillance, risk assessments, testing, and audits. - Participate as compliance stakeholder in new product, risk review and related efforts. - Participate in diligence of counterparties and quality control of assets financed by SPG. Qualifications - BA or BS degree. JD preferred but not required. - Working knowledge of SEC, CFTC and FINRA regulations relevant to the fixed income business. - Subject matter expertise or knowledge in fair lending, mortgage and consumer protection laws and regulations, including ECOA, TILA, HMDA, UDAAP, CRA, and new Qualified Mortgage and Ability to Repay Rules. - Strong analytical, problem-solving and organizational skills. - Sound judgment and strategic thinking skills. - Superior interpersonal, verbal, and written communication skills. - Ability to simultaneously manage various issues and projects in a fast-paced and high-performance environment. - Ability to work with colleagues and clients effectively at all levels of the organization.