Municipal Securities Compliance Officer recruitment
The Municipal Securities Compliance Officer will be expected to advise on MSRB, FINRA, and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures. Candidates must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision. Candidates should be proficient in time management and able to initiate and manage projects.
Job Responsibilities
* Provide Compliance support for municipal sales and trading desk and Public Finance, as well as related support functions
* Communicate with senior business management and desk personnel regularly and address issues on a real-time basis
* Actively monitor regulatory developments and trends such as Dodd-Frank regulatory reform, participate in industry forums to address new rule proposals, and take appropriate action to ensure the business unit understands and complies with new or amended regulations, including updates to desk policies and procedures and training
* Assist in the maintenance of written supervisory procedures
* Interact with operations and technology support to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation
* Assist in regulatory reviews, audits and other examinations
Skills Required
* At least five years compliance experience
* Knowledge of broker-dealer regulatory compliance, including MSRB, FINRA, and SEC regulations; knowledge of derivatives a plus
* Excellent communication skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel.
* Strong organization skills with the ability to multitask and prioritize
Educational Requirements
* Bachelors Degree