Broker Dealer Compliance Generalist - Fixed Income

Join a top broker dealer as a compliance generalist with strong fixed income product knowledge.

Client Details

Client is a top, long-standing, global financial services firma and investment bank.

Description

• Provide real-time compliance advisory support to front office personnel on fixed income trading activity, including municipal securities, corporate bonds, U.S. Treasuries, and structured products.

• Interpret and apply regulatory requirements (e.g., SEC, FINRA, MSRB) in support of business initiatives, ensuring alignment with applicable laws and internal policies.

• Review and enhance compliance policies and procedures, with a focus on fixed income trading, customer communications, trade reporting (e.g., TRACE), and suitability.

• Assist in the development and execution of compliance monitoring and surveillance reviews related to fixed income trading and sales practices.

• Support internal investigations and respond to regulatory inquiries or exams, including drafting responses and gathering relevant documentation.

• Partner with legal, risk, operations, and technology teams to assess regulatory change impacts and implement effective control solutions.

• Conduct and support compliance training for business personnel on key regulatory topics and firm policies.

• Contribute to the review of marketing materials and client communications to ensure compliance with applicable regulations and disclosure standards.

• Maintain awareness of industry best practices, enforcement trends, and regulatory developments affecting fixed income markets and broker-dealer activities.

Profile

• Bachelor's degree required; advanced degree or relevant certifications (e.g., Series 7, 24, 52, or JD) a plus.

• 3-7 years of compliance experience within a broker-dealer environment, with a strong working knowledge of fixed income products and markets.

• Familiarity with key regulations and rules applicable to broker-dealers, including SEC, FINRA, MSRB, and Dodd-Frank requirements.

• Experience providing compliance advisory support to front office trading or sales desks preferred.

• Working knowledge of trade reporting systems (e.g., TRACE) and surveillance tools a plus.

• Strong communication skills with the ability to effectively interact with business staff, control functions, and regulators.

• Highly organized, detail-oriented, and able to manage multiple priorities in a fast-paced environment.

Job Offer

Candidate will have the ability to grow tremendously within this role due to it's wide exposure internally and large product offering.

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.