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Job Requirements of Fixed Income Compliance Officer:
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Employment Type:
Full-Time
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Location:
Manhattan, NY (Onsite)
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Fixed Income Compliance Officer
Our Client is seeking a Fixed Income Compliance Officer to provide regulatory/compliance advice and support to the Firm's fixed income trading and operational functions to enable the business to operate in accordance with all applicable regulatory requirements
Client Details
Our Client is a Broker Dealer
Description
- Ensure compliance with fixed income trading regulations (electronic, algorithmic, hybrid, and voice), including timely filings, adherence to firm policies, and managing regulatory examinations and inquiries.
- Provide accurate and timely guidance to business units, review new initiatives, and address escalations to support compliance with applicable laws and regulations.
- Develop, implement, and maintain policies, procedures, controls, and surveillance processes to monitor trading activities and ensure regulatory adherence (e.g., TRACE, RTRS, Reg ATS, Rule 15a-6).
- Analyze regulatory changes, assess business impact, implement required updates, and conduct periodic reviews to identify and remediate compliance gaps.
- Collaborate with cross-functional teams, provide training, and develop supervisory and risk mitigation reports to enhance compliance and support business operations.
Profile
- In-depth knowledge of fixed income businesses, securities markets, and applicable reporting requirements;
- 7-10 years of experience supporting fixed income compliance at a broker-dealer;
- College Degree is required;
- Series 7 and 24 or ability to obtain the licenses upon hiring; and
- Strong writing skills.
Job Offer
- Competitive Base + Bonus
- Hybrid Working
- Medical, Dental, Vision, 401K
MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.