EXTERNAL CLIENT ROLE
The candidate that fills the position will be expected to assist in the providing of regulatory/compliance advice and support to the firm’s fixed income businesses. The candidate will also conduct surveillance reviews related to institutional transactions in fixed income, will be expected to create and implement new surveillance tools, as needed, and will also assist with regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC) that provide oversight of the firm. Additional duties may include managing Compliance IT projects, handling special projects, and training of other staff.
• Responding to and addressing inquiries from various fixed income business units throughout the firm to assure compliance with the applicable laws, regulations and firm policies;
• Review trade exception reports and trading activity to ensure compliance with appropriate rules, regulations, and firm policies;
• Review electronic communications;
• Design and implement surveillance reports and processes for various trading areas, including the management of said implementation;
• Develop policies and procedures that reflect changes in business, regulation, and developing views on issues;
• Performing oversight and monitoring of documented policies and procedures throughout the firm by performing test work, documenting results and identifying and escalating potential issues; and
• Assist in conducting periodic training.
Qualifications & Experience:
• Specific knowledge of fixed income, futures and/or equity markets is required;
• 3-5 years’ experience at an in-house broker-dealer Compliance Department;
• Proficiency in Excel (macros, working with large data sets, graphing) required;
• Series 7 is preferred but not necessary; and
• College Degree is required.