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Fixed Income Compliance Manager

Emergent365 Inc (Formerly Blackstone Professional Recruiting Inc)

New York (NY)

On-site

USD 90,000 - 165,000

Full time

28 days ago

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Job summary

A leading broker dealer is actively seeking a Fixed Income Compliance Manager for a hands-on role overseeing compliance across fixed income products including Bonds, Treasury, FX, and Derivatives. The position requires extensive compliance experience, strong product knowledge, and the ability to manage direct reports in a collaborative environment. Ideal candidates will help the firm meet regulatory obligations while enhancing compliance procedures.

Qualifications

  • Min 10+ years as compliance officer at a bank or broker dealer.
  • Must possess Series 7 and 24 licenses.
  • Strong writing skills necessary for documentation and compliance reporting.

Responsibilities

  • Lead and provide compliance advice and support to fixed income trading.
  • Draft, enhance, and implement compliance manuals and procedures.
  • Conduct surveillance reviews of fixed income transactions.

Skills

Fixed Income product knowledge
Front Office Advisory experience
Reg ATS experience
TRACE Reporting
MSRB Reporting

Education

College Degree

Tools

Compliance manuals

Job description

1 week ago Be among the first 25 applicants

Direct message the job poster from Emergent365

A leading broker dealer is seeking a “Hands-on” Fixed Income Compliance Manager to run compliance for all LOB’s within Fixed Income business. This includes: Bonds, Treasury, Securitized Products, FX, Derivatives, EM. You’ll have two direct reports, reporting to the Global Head of Compliance. Will be fully hands-on with every aspect of daily compliance duties while leading a team of 1-2 people. Seeking someone with strong Fixed Income product knowledge and strong front office Advisory experience working directly with traders and front office staff. Also seeking strong Reg ATS, 15a-6, Trace Reporting, MSRB Reporting. This is a backfill for person who just handed in 2 week notice, need someone in seat asap. If right fit, will convert to FTE. Hybrid schedule, 3 days onsite in downtown NYC office.

Must have:

  • Min 5+ years Manager of Compliance
  • Min 10+ years as compliance officer at a bank or broker dealer
  • Strong Fixed Income, Front Office Advisory experience – providing consultative compliance support to front office.
  • Strong knowledge of Fixed Income products: Treasuries, Corporate Bonds, Munis, MBS, Securitized Products, FX, EM, Derivatives.
  • TRACE reporting – working with Ops/IT/Business on reporting and scorecards
  • Series 7 and 24
  • Reg ATS experience – with SEC ATS remediation and Neptune deal this is an immediate need.
  • 15a-6 experience – John is finishing updated procedures and controls, but this will need to be implemented with the UK
  • MSRB reporting – same as above.
  • Series 7, 63, 24

Group Overview

We are a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior liquidity and data solutions. We are one of the largest interdealer brokers in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform

Responsibilities

Fixed Income Compliance Manager to lead a team while providing regulatory/compliance advice and support to the Firm’s fixed income trading and operational functions to enable the business to operate in accordance with all applicable regulatory requirements.

The candidate must have strong writing skills as they will be expected to draft, enhance and/or implement compliance manuals, written supervisory procedures, screen protocols, trading rules and Form ATS exhibits. The candidate may also conduct surveillance reviews of fixed income transactions, will help create and implement new surveillance tools and, as needed, will also assist with regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC) that provide oversight of the firm. Additional duties may include managing Compliance IT projects, handling special projects, and training other staff.

Business stakeholders (Business Managers, Heads of Desks and Brokers); Legal; Risk; HR; IT; Finance; Operations and the wider Compliance function.

Core Responsibilities

  • Ensure that the Firm meets its obligations pursuant to key regulations related to fixed income trading, including but not limited to, electronic, algorithmic, hybrid and voice trading;
  • Respond to and address inquiries from various fixed income business units throughout the firm to ensure compliance with applicable laws, regulations and firm policies;
  • Provide accurate and timely advice to the Business and other functions, including inquiries and escalations from various trading and operations staff;
  • Review and advise on new business initiatives;
  • Manage and respond to regulatory examinations, investigations and inquiries related to the firm’s fixed income businesses;
  • Ensure timely filing of regulatory reports and updates and respond to any regulatory inquires;
  • Draft, review, and revise manuals, policies, written supervisory procedures, screen protocols, trading rules, Form ATS exhibits and other documents;
  • Create and maintain controls relative to TRACE and RTRS trade reporting, Reg ATS, Rule 15a-6 and other applicable rules and regulations; perform assurance work as necessary;
  • Review trade exception reports and trading activity to ensure compliance with appropriate rules, regulations, and firm policies
  • Design and implement surveillance reports and processes for various trading areas, including the management of said implementation
  • Analyze rule proposals and amendments to assess business impact and ensure proper implementation of any final rules;
  • Conduct periodic assessments and other reviews to identify and remediate potential gaps;
  • Develop and enhance supervisory reports as needed;
  • Conduct periodic training;
  • Identification of risks and risk mitigation solutions;
  • Work collaboratively with cross-functional teams as needed (e.g., Legal, Compliance, Risk, Client On-Boarding, AML Office, and IT); and
  • Fulfil additional / ad hoc duties as required to meet the needs of the Business

Requirements;

  • In-depth knowledge of fixed income businesses, securities markets, and applicable reporting requirements;
  • 10+ years of experience supporting fixed income compliance at bank / broker-dealer;
  • College Degree is required;
  • Series 7 and 24 or ability to obtain the licenses upon hiring; and
  • Must have a strong work ethic and the ability to work well with others;
  • Must have strong verbal and analytical skills;
  • Must have an aptitude for technical matters;
  • Must be able to manage multiple tasks simultaneously;
  • Must have experience working with senior stakeholders.
Seniority level
  • Seniority level
    Mid-Senior level
Employment type
  • Employment type
    Contract
Job function
  • Job function
    Consulting

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