Fixed Income Compliance And Surveillance Specialist

Overview

• Join a prominent financial services firm as a Fixed Income Compliance and Surveillance Specialist.
• Ensure adherence to regulatory standards and market compliance for fixed income products.
• Collaborate with diverse teams to address compliance matters effectively and efficiently.
• Conduct real-time and post-trade surveillance to maintain regulatory integrity.
• Analyze regulatory reports and provide actionable insights for compliance improvement.
• Support compliance programs for primary dealer and operational frameworks.
• Contribute to a culture of compliance excellence and continuous improvement.
• Stay updated on regulatory changes and implement necessary adjustments proactively.

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 perform detailed analyses.
• Oversee Treasury Auctions and conduct compliance inspections and testing.
• Manage compliance programs for primary dealer and CME operations.
• Assist in reviewing and updating policies and procedures to ensure regulatory adherence.
• Collaborate with internal teams to address daily compliance matters effectively.
• Monitor regulatory changes and communicate updates to relevant stakeholders.

Job Requirements

• Bachelor’s degree in Finance, Business, or a related field is required.
• 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.