Top-Tier Financial Services Firm in Midtown, Manhattan is seeking a Compliance Officer for their Fixed Income space!

Responsibilities:

Conduct compliance training for new and existing regulations and firm policies.
Monitor TRACE and MSRB reporting in real-time and circulate performance metrics.
Conduct electronic communications surveillance and trade reconstructions.
Provide real-time advice and guidance to trading and sales force on regulatory implications of daily activity.
Regularly update written supervisory procedures.
Draft memoranda on regulatory matters to be distributed internally.
Draft responses to fixed income-related regulatory inquiries and internal audits.
Perform on-site branch office inspections and ad hoc investigations.

Qualifications:

Bachelor’s Degree required
5+ years of experience working in fixed income compliance
Prior experience working in a broker-dealer is a plus
Knowledge of SEC, FINRA, and MSRB regulations applicable to fixed income products, sales and trading.
Experience with fixed income trade surveillance.
Experience with broker-dealer trading and back-office systems, including Bloomberg Trade Order Management System (TOMS).
Series 7 Required
Series 24 is a plus