Job Description
Industry: Financial Services
Title: Fixed Income Specialist - Compliance & Surveillance
Location: NYC
Type: Fulltime **Must have strong Fixed Income expertise**
Responsibilities:
• 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.
Qualifications:
• Bachelor’s Degree required (Law degree would be a plus)
• FINRA Series 7 required (Series 24 and 53 a plus)
• 2 to 7 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.
Estimated Min Rate : $100000.00
Estimated Max Rate : $130000.00
What’s In It for You?
We welcome you to be a part of the largest and legendary global staffing companies to meet your career aspirations. Yoh’s network of client companies has been employing professionals like you for over 65 years in the U.S., UK and Canada. Join Yoh’s extensive talent community that will provide you with access to Yoh’s vast network of opportunities and gain access to this exclusive opportunity available to you. Benefit eligibility is in accordance with applicable laws and client requirements. Benefits include:
- Medical, Prescription, Dental & Vision Benefits (for employees working 20+ hours per week)
- Health Savings Account (HSA) (for employees working 20+ hours per week)
- Life & Disability Insurance (for employees working 20+ hours per week)
- MetLife Voluntary Benefits
- Employee Assistance Program (EAP)
- 401K Retirement Savings Plan
- Direct Deposit & weekly epayroll
- Referral Bonus Programs
- Certification and training opportunities
Note: Any pay ranges displayed are estimations. Actual pay is determined by an applicant's experience, technical expertise, and other qualifications as listed in the job description. All qualified applicants are welcome to apply.
Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Visit to contact us if you are an individual with a disability and require accommodation in the application process.
For California applicants, qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. All of the material job duties described in this posting are job duties for which a criminal history may have a direct, adverse, and negative relationship potentially resulting in the withdrawal of a conditional offer of employment.
Job Tags
Full time, Work at office,