Fixed Income Compliance And Surveillance Specialist

Overview

• Join a leading financial services firm as a Fixed Income Compliance and Surveillance Specialist.
• Monitor trading activities to ensure compliance with market regulations and standards.
• Collaborate with sales, trading, operations, and IT teams to address compliance matters.
• Conduct real-time and post-trade surveillance for fixed income products.
• Review and analyze regulatory reports, including TRACE and FINRA report cards.
• Assist in regulatory inquiries, examinations, and policy updates.
• Support compliance programs for primary dealer and CME operations.
• Contribute to a diverse and collaborative company culture.

Key Responsibilities & Duties

• Perform real-time and T+1 trade surveillance for fixed income products.
• Ensure compliance with TRACE reporting and best execution standards.
• Conduct monthly FINRA report card reviews and related research.
• Oversee Treasury Auctions and compliance inspections/testing.
• Manage compliance programs for primary dealer and CME operations.
• Assist in policy and procedure reviews and updates.
• Collaborate with internal teams to address daily compliance matters.
• Stay informed of regulatory changes and communicate updates effectively.

Job Requirements

• Bachelor’s degree in Finance, Business, or related field.
• Minimum of 3 years of experience in compliance or surveillance roles.
• Proficiency in Bloomberg, NASDAQ SMARTs Surveillance, TRACE, and Microsoft Office Suite.
• Strong communication skills for effective interaction with internal teams and partners.
• Knowledge of fixed income products and related regulatory requirements.
• FINRA Series 7 License for General Representatives is required.
• Experience with regulatory inquiries and examinations is preferred.
• Ability to create visualizations and reports for compliance activities.