Job Summary: Join a leading financial services firm as a Compliance Officer specializing in fixed income. This role involves providing regulatory guidance to trading and sales teams, conducting trade surveillance, updating firm policies, and responding to regulatory inquiries.
Responsibilities: - Oversee real-time monitoring and analysis of TRACE and MSRB reporting.
- Provide guidance to sales and trading teams on the regulatory implications of their activities.
- Prepare responses to regulatory inquiries and internal audit requests related to fixed-income operations.
- Develop, update, and test firm policies, procedures, and written supervisory procedures.
Qualifications - Bachelor's Degree required.
- 2-6 years of experience in a compliance role within a FINRA-registered broker-dealer, specifically focusing on Fixed Income products.
- Comprehensive knowledge of SEC, FINRA, and MSRB regulations related to fixed-income sales and trading.
- Proficiency with trading and back-office systems such as Bloomberg TOMS.
- FINRA Series 7
The salary range is between $125,000-$160,000 depending on experience. For more information, please reach out to Josh Delgado at Joshua.Delgado@trevosepartners.com
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