Job Description

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

Job Tags

Permanent employment, Full time,

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