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The Firm is seeking a junior to mid-level Compliance Officer to provide real-time advice and support to front office personnel in a fast paced, high-pressure environment. The Compliance Officer will be responsible for covering the various fixed income businesses.
Provide advice and guidance (desk presence) to trading and sales force on regulatory implications of daily activity.
Create and review exception reports on a daily basis.
Regularly update written supervisory procedures.
Draft memoranda on regulatory matters to be distributed internally.
Conduct compliance training regarding new and existing regulations and firm policies.
Monitor TRACE and MSRB reporting in real-time and circulate performance metrics.
Conduct electronic communications surveillance on a regular basis.
Review customer investment policies for authorized investments and institutional communications for proper disclaimers.