Fixed Income Compliance Analyst
Cantor Fitzgerald
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 #J-18808-Ljbffr Cantor Fitzgerald
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