Vice President, Fixed Income and Equities Controls

Bachelor's degree or the equivalent combination of education and experience required 5-7 years of total work experience in financial services preferred, ideally with experience in risk and control discipline (e.g., First Line Controls, Operational Risk and/or Control Assurance, Regulatory Change, etc.) as well as significant knowledge and understanding of capital markets products (fixed income and equities securities and their derivatives) Understanding of regulatory requirements for sales and trading under different regimes, including FINRA-based rules with regard to supervision, Best Execution and regulatory trade reporting (e.g. TRACE, CAT) Ability to work with internal and external examiners to confirm scoping and risk for identified issues Ability to analyze a process and recommend ways to improve controls and efficiency Strong interpersonal skills for interfacing with all levels of internal and external management Ability to learn quickly, handle simultaneous requests and projects, and adapt to a fast-paced environment Ability to develop remote relationships across functions and regions