Fixed Income Compliance Officer and make a significant impact by providing real-time regulatory guidance, drafting policies, and conducting compliance training in a dynamic and fast-paced environment.
Compliance Officer – AVP/VP
in Financial Services PermanentJob Detail
Job Description
Fixed Income Compliance Officer
Job Description: The Firm is seeking a junior to mid-level Compliance Officer to provide real-time advice and support to front office personnel in a fast paced, high-pressure environment. The Compliance Officer will be responsible for covering the Firm’s various fixed income businesses.
Specific functions
· Provide real-time advice and guidance to trading and sales force on regulatory implications of daily activity.
· Draft/update Firm policies and procedures; perform testing of policies and procedures.
· Regularly update written supervisory procedures.
· Draft memoranda on regulatory matters to be distributed internally.
· Conduct compliance training for new and existing regulations and firm policies.
· Monitor TRACE and MSRB reporting in real-time and circulate performance metrics.
· Conduct electronic communications surveillance and trade reconstructions.
· Draft responses to fixed income-related regulatory inquiries and internal audits.
· Perform on-site branch office inspections and ad hoc investigations.
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