Fixed Income Compliance Officer – Rates

Full Time

Investment Management Client

Office Status: Hybrid

Salary: $170,000 – $215,000

Position Description

This individual will provide advisory compliance support for the Rates Sales & Trading, and fixed income components of Bank Resource Management. Candidate will be expected to provide advice on FINRA, CFTC, Federal Reserve, OCC and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures. Candidate must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision. Candidate should be proficient in time management and able to initiate and manage projects. Candidate may have managerial responsibilities, which may include supervision of other members of the FID Compliance team.

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