Compliance Officer (Fixed Income) Job at Social Capital Resources, New York, NY

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  • Social Capital Resources
  • New York, NY

Job Description

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

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