Regulatory Compliance, Fixed Income Operations recruitment
In particular, individuals will be involved with Regulatory developments in the region, driving initiatives to implement new requirements, and undertaking special reviews for key areas within Operations. Responsibilities may also include working with third parties on Regulatory exams. Strong emphasis on Fixed Income Compliance. Knowledge of FOCUS reporting and 15c3-1 and 15c3-3 is helpful.
Monitor fixed income reportable trades for both TRACE and MSRB.
Perform audits on fixed income trades
Coordinate with FINRA on all fixed income regulatory inquires.
Audit Operations for compliance with FINRA and SEC rules, as well as company policy.
Creating and modify written firm policies and procedures to address regulatory and operational risk.
Staff will be required to liaise with various departments within the organization on presenting the case for system enhancements and new processes. Staff will also work on training, awareness, and communications on Regulatory and Compliance requirements for Operations.
Minimum Requirements
• Bachelor's degree required
• At least 3 years experience in Regulatory Risk Management
• Proficiency with Microsoft Office applications required.
• Knowledge of industry is required
• Knowledge of Regulations
• The candidate must be detailed oriented.
• The candidate must be a self starter with strong organizational and communication skills.
• The candidate must possess strong problem solving skills.