Fixed Income Compliance Officer recruitment
The Compliance Officer will have general oversight of the fixed income trading activities and administer the compliance monitoring and testing program.
Other responsibilities include, but are not limited to:
* Document and execute surveillance and testing of fixed Income activity which currently include US Treasury Securities, government sponsored agency debt, municipal securities, high yield corporate debt and money market Instruments.
* Conduct transaction reviews of trading and sales records as detailed in the compliance monitoring program for the business line to verify the efficacy of the stated supervisory procedures
* Assist the CCO in monitoring and oversight of AML related activities and issues;
* Monitor Public Finance Activities and conduct reviews to test the adequacy and effectiveness of policies and procedures for compliance with SEC, FINRA and MSRB rules and regulations
* Assist in day to day compliance oversight of all US fixed income business line activities