Capital Markets Compliance – Information Wall Manager

Investments & Capital Markets
Mc Lean, VA
May 18, 2017
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Position Overview

As a key member of the Capital Markets Compliance Team, the primary responsibility of the Securities Compliance Manager will be to support effective compliance risk management related to securities laws, rules and regulations and industry best practices by establishing and enforcing policies and procedures, serving as a securities compliance subject matter expert and advising capital markets professionals in Freddie Mac’s lines of business and other oversight groups on appropriate standards of compliance, and overseeing risk reporting to risk committees and management. Position will include providing advice and interpretation of the enterprise’s information wall policy preventing the inappropriate flow of material non-public information.

Responsibilities Include:

  • Provide advice to business lines on information sharing under Freddie Mac’s information wall policy designed to prevent the inappropriate flow of material non-public information to personnel in sensitive positions
  • Coordinate with the Legal Division and risk management groups to maintain a comprehensive view of securities compliance risk at Freddie Mac
  • Evaluating significance of risk for applicable securities law risks, including the identification of applicable industry standards of risk management to incorporate into the overall compliance risk management program compliance methodology and in collaboration with the Legal Division
  • Enabling the business, as first line of defense, to build and maintain appropriate controls over securities risks
  • Designing and building risk-based components of a comprehensive compliance oversight program in the Compliance division, in collaboration with other risk oversight groups in Enterprise Risk Management
  • Design and execute training plan to mitigate securities risk
  • Coordinating capital markets compliance deliverables by team members, including baseline processes and special projects
  • Developing key relationships across the enterprise to support securities and information barrier risk management including with trading, systems management and information security, legal, sourcing, models and other risk management personnel
  • Position may include derivatives compliance risk management


  • Minimum of 8 years of experience with knowledge of securitization, securities laws and fixed income capital markets
  • Bachelor’s degree or equivalent experience
  • Experience interacting with executive level customer personnel and frequently coordinating across organizational lines
  • Experience in demonstrating exceptional analytic skills, attention to detail and organizational skills
  • Experience working effectively independently as well as in a team environment, including with cross-functional teams
  • Knowledge of the capital markets, trading instruments (including mortgage-backed securities, fixed income and derivatives) and mortgage finance
  • Experience with working effectively in a changing environment

Closing Statement

Today, Freddie Mac makes home possible for one in four home borrowers and is one of the largest sources of financing for multifamily housing. Join our smart, creative and dedicated team and you’ll do important work for the housing finance system and make a difference in the lives of others. Freddie Mac is an equal opportunity and top diversity employer. EOE, M/F/D/V.