Fixed Income Compliance Analyst

Cantor Fitzgerald; New York (NY); On-site; USD 70,000 - 90,000; Full time

Job summary

A leading financial services firm in New York is seeking a junior to mid-level Compliance Officer to support trading and sales personnel. Responsibilities include providing regulatory guidance, conducting compliance training, and ensuring adherence to policies in a fast-paced environment. The ideal candidate will have 1 to 4 years of compliance experience and a Bachelor's degree with corresponding FINRA certifications.

Qualifications

• 1 to 4 years of experience in fixed income compliance.
• Familiarity with SEC, FINRA, and MSRB regulations.
• Experience with fixed income trade surveillance is preferred.

Responsibilities

• Provide real-time advice to trading and sales on regulations.
• Conduct compliance training for new regulations.
• Monitor TRACE and MSRB reporting and circulate metrics.

Skills

Fixed income compliance experience

Knowledge of SEC regulations

Experience with Bloomberg TOMS

Trade surveillance knowledge

Education

Bachelor's degree

FINRA Series 7

Law degree

Tools

Bloomberg Trade Order Management System (TOMS)

Job description

Job Description

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 Firm’s various fixed income businesses.

Specific functions

• Provide real-time advice and guidance to trading and sales force on regulatory implications of daily activity.
• Draft/update Firm policies and procedures; perform testing of policies and procedures.
• Regularly update written supervisory procedures.
• Draft memoranda on regulatory matters to be distributed internally.
• 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.
• Draft responses to fixed income-related regulatory inquiries and internal audits.
• Perform on-site branch office inspections and ad hoc investigations.

Candidate Requirements

• 1 to 4 years of experience working in fixed income compliance function of a FINRA registered broker dealer.
• Experience with broker-dealer trading and back-office systems, including Bloomberg Trade Order Management System (TOMS).
• Knowledge of SEC, FINRA, and MSRB regulations applicable to fixed income products, sales and trading.
• Experience with fixed income trade surveillance.
• Working knowledge of major fixed income regulatory topics, including but not limited to trade reporting, markups and markdowns, institutional suitability, Municipal Advisor Rule and communications with the public.
• Familiarity with regulatory initiatives, including best execution, fair pricing, 15c3-5, front running, and debt research.
• Experience with structured products, MBS, private debt offerings a plus.
• Bachelors degree, FINRA Series 7 Required (Series 24 and 53 a plus). Law degree a plus.

Seniority level

• Associate

Employment type

• Full-time

Job function

• Finance

Industries

• Investment Banking, Banking, and Financial Services