Fixed Income Compliance Officer recruitment
RESPONSIBILITIES
Provide compliance advice and guidance to business lines, firm management and compliance support on application of rules, regulations and policies. Educate and train business line and compliance and other support staff on relevant rules, regulations, policies and processes. Identify the need for, create, establish, update, implement and monitor compliance with Compliance policies and procedures. Respond to regulatory inquiries and manage regulatory examinations.
TECHNICAL SKILLS
Required/Must have:
* Knowledge of fixed income sales and trading laws, rules and regulations
Desired/Plus:
* In-depth knowledge of all or specific aspects of fixed income sales and trading laws, rules and regulations (e.g., Treasury auction rules and processes; GSE, or Agency, trading and securities underwriting programs; corporate bond underwriting, trading and reporting requirements; surveillance processes)
COMPETENCIES
Required/Must have:
* Ability to function in a demanding fast-pace environment.
* Must possess the analytic ability to identify issues
* Elicit information from business or support personnel confronted with such issues
* Resolve and address such issues with minimal assistance from Compliance management and communicate the resolution of issues both orally and in writing.
Desired/Plus:
* Ability to educate and train employees.
PRIOR WORK EXPERIENCE
Required/Must have:
* Three (3) to five (5) years in the financial services industry.
Desired/Plus:
* 5+ years in the financial services industry and experience working for/with a regulator or SRO.
EDUCATION
Required/Must have:
* Bachelor’s Degree
Desired/Plus:
* Securities industry registrations (e.g., Series 7, 9/10, 24, 14); advanced degree (e.g., J.D., MBA)