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Mid-sized international firm is seeking a Fixed Income Compliance professional to report into the Head of Fixed Income Compliance. This person will focus on TRACE, email surveillance, employee trading and transaction reviews.
Update Compliance policies and procedures to be current with rules, regulations and business model.
Responsible for trading surveillance, exceptions reports, email surveillance, and employee trading surveillance across Fixed Income trading and sales.
Provide compliance advice and guidance to Fixed Income business lines, firm management and compliance support.
Assist in the response of regulatory inquiries and regulatory examinations
Train business line and compliance support staff on relevant rules and regulations.
Work closely with IT personnel on the implementation of regulatory initiatives.
Compliance advisory experience with Fixed Income products; Treasuries, Commercial Paper, Interest Rate Swaps, MBS, Muni, Repo, etc.
Knowledge of fixed income sales and trading laws, rules and regulations.
Self-starter who possess excellent organizational and communication skills.
Resolve and address such issues with minimal assistance from Compliance management and communicate the resolution of issues both orally and in writing.
In-depth knowledge of all or specific aspects of fixed income sales and trading laws, rules and regulations (e.g., Treasury auction rules and processes; GSE, or Agency, trading and securities underwriting programs; corporate bond underwriting, trading and reporting requirements; surveillance processes)
Ability to educate and train employees
5+ years of Fixed Income trading and sales compliance experience in a fast-paced dynamic environment
Securities industry registrations (e.g., Series 7, 9/10, 24, 14); advanced degree (e.g., J.D., MBA) preferred
Internal Number: 6109222
About Phyton Talent Advisors
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