Fixed Income Compliance Officer

Major Duties and Responsibilities
-Conduct oversight of the account opening process
-Process registrations and other on-boarding functions for new employees
-Design and implement the surveillance of sales and trade activity
-Conduct email and communications review
-Participate in development and delivery of compliance training
-Update supervisory and compliance manuals; recommend changes when warranted
-Keep current on laws and regulations, including those promulgated by SEC, FINRA and state jurisdictions
-Assist in responding to inquiries and examinations by regulators

Requirements
-Undergraduate degree
-At least 10 years of relevant fixed income broker-dealer compliance experience 
•Series 7 license required