Fixed Income Compliance Associate - Real-Time Reg Advisor

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

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.