Fixed Income Compliance Officer

New York, NY

Posted: 08/30/2018 Industry: FIN Perm Job Number: 11238087
The Firm is seeking a junior to mid-level Compliance Officer to provide real-time advice and support to front office personnel in a fast paced, high-pressure environment. The Compliance Officer will be responsible for covering the various fixed income businesses.

Specific functions:
  • Provide advice and guidance (desk presence) to trading and sales force on regulatory implications of daily activity.
  • Create and review exception reports on a daily basis.
  • Regularly update written supervisory procedures.
  • Draft memoranda on regulatory matters to be distributed internally.
  • Conduct compliance training regarding new and existing regulations and firm policies.
  • Monitor TRACE and MSRB reporting in real-time and circulate performance metrics.
  • Conduct electronic communications surveillance on a regular basis.
  • Review customer investment policies for authorized investments and institutional communications for proper disclaimers.
  • Assist in responding to regulatory inquiries.
  • Perform nationwide on-site branch office inspections.
Candidate Requirements:
  • 3 to 7 years of experience working in fixed income compliance function of a broker dealer.
  • Experience with broker-dealer trading and back-office systems, including Bloomberg Trade Order Management System (TOMS).
  • Knowledge of SEC, Client, and MSRB regulations applicable to fixed income products, sales and trading.
  • Intimate expertise of trading mechanics relating to fixed income instruments.
  • Working knowledge of major fixed income regulatory topics, including but not limited to trade reporting, markups and markdowns, institutional suitability, and communications with the public.
  • Familiarity with new regulatory initiatives, including best execution, 15c3-5, front running, and debt research rules.
  • Bachelors degree, Client Series 7 Required (Series 24 and 53 a plus). Advanced degree a plus.
The Firm is willing to consider individuals with fixed income experience in other areas of the financial services industry who are seeking to begin a career in regulatory compliance

Nick LaPetina

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