Job Description: :
The Fixed Income Sales & Trading Coverage Specialist is a compliance subject matter expert aligned with the Corporate and Investment Banking(CIB) business. The Specialist is the initial point of contact with business teammates for support and interpretation of regulatory compliance and policy matters relating to Fixed Income Sales and Trading and provides ongoing advisory services.
The Specialist is responsible for providing regulatory guidance and coverage of the Fixed Income Sales and Trading business which includes sales and trading activity in a variety of areas such as high yield and investment grade corporate bonds, government securities, municipal bonds, U.S. agency bonds, repo and securities lending, variable rate demand notes and mortgage-backed securities.
The Specialist will be responsible for providing advice on FINRA, MSRB and SEC rules, regulations and interpretive guidance, as well as, relevant policies and procedures. Liaise with others in CIB Compliance to provide advice to stakeholders regarding regulatory matters and the control framework, and respond to regulatory inquiries. Acts in a risk oversight role and is responsible for activity monitoring, issue identification and escalation, reporting, impact assessments, tracking of action plan remediation; policy, procedures, process, vendor and product reviews and documentation; supports testing, audits and examinations; conducts training and analyzes actual and emerging risks within complex functions and lines of business.
College degree. 7 years of experience in regulatory compliance, including experience in equity sales and trading; or the financial services industry such as broker dealer, equity sales & trading, bank, legal, audit, or risk management; or equivalent.
Experience in research compliance or other capital markets compliance is beneficial.
Sound leadership effectiveness and a strong ability to engage with executives.
Strong analytical and problem solving skills.
Strong communication skills, both verbal and written.
Strong presentation and facilitation skills.
Ability to perform multiple tasks in a fluid environment, and to work both independently and as a member of a team.
MBA or advanced degree. More than 10 years of regulatory compliance experience.
Institutional Broker Dealer compliance experience.
Investment banking and capital markets experience.
Demonstrated experience with regulatory agencies and a broad knowledge of legal and organizational matters and the ability to apply knowledge to issues of all levels of complexity.
Ability to organize, direct, and perform highly complex analysis and tasks. Interpret complex laws and regulations.
Demonstrated leadership ability.
Equal Opportunity Employer: SunTrust supports a diverse workforce and is a Drug Testing and Equal Opportunity Employer. SunTrust does not discriminate against individuals on the basis of race, creed, color, gender, religion, national origin, age, disability, veteran status, pregnancy, marital status, citizenship status, sexual orientation, gender identity, genetic information, or any other classification protected by applicable laws.
To review the EEO Poster, copy and paste the following link into your browser: http://www1.eeoc.gov/employers/upload/eeoc_self_print_poster.pdf http://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf
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