Compliance Officer (Fixed Income) recruitment
Significant experience working in a compliance or related function.
Understanding of the application of SEC, FINRA and MSRB Regulations applicable to fixed income products, sales and trading.
Understanding of Regulations ATS and familiarity with current market structure issues applicable to fixed income products, sales and trading.
Familiarity with broker dealer systems and applications.
Strong written and verbal skills.
Experience in designing an effective compliance program
Ability to identify and analyze issues and provide clear sensible solutions in light of the relevant legal regulatory requirements.
Required Education Experience:
Preferred candidate will have 5- 10 years of experience in the compliance department of a financial services firm or comparable experience with a regulatory agency. M.B.A., J.D. or other advanced degree a plus but not required.