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Job ID Number: 1258576428
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Trading Desk/Fixed Income |
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| Job Title: |
Fixed Income Compliance Officer |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Top-tier Financial Services firm is seeking a Fixed Income Compliance Officer. This fast paced position will report to the Chief Compliance Officer and will be responsible for:
Ensuring that the Firm’s multiple fixed income trading desks (ABS/ MBS/ CMO/ CLO/ CDO/Corporates/Agencies/Treasury/Municipals/Repos) operate in compliance with securities regulation and securities law through various proactive surveillance, audit and training functions including:
Monitoring and documenting the Firm’s trade flows, order routing/execution and trade reporting functions for best practices and irregularities.
Review of the Firm’s fixed income mark-up policies and documenting the Firm’s IM-2440 compliant policy.
Documenting, categorizing and tracking of the Firm’s error trades and error trading policies.
Perform reviews and testing on the Firm’s TRACE, MSRB RTRS, and ACT trade reporting functions.
Qualifications:
Candidate should have 2-3 years experience in implementing/auditing compliance with FINRA/SEC laws and regulations applicable to FINRA registered broker-dealers.
BS/BA in related field preferred.
FINRA Series 7 and 24 are preferred.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
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