Capital Markets Compliance Specialist

Investment Bank Fixed Income Compliance Specialist

Please ensure you read the below overview and requirements for this employment opportunity completely.

Role:

• Must have Capital Markets Compliance Advisory Experience : Equities Compliance, Equity Derivatives, Futures Compliance, Fixed Income Compliance, Front Office Advisory, New Product Approval
• Regulatory Expertise (SEC, FINRA & Broker-Dealer Rules)
• Control Framework, Policies & Stakeholder Management
• Must have 3-7+ years of experience supporting Equities, Equity Derivatives, Futures, or Fixed Income businesses within an investment bank or broker-dealer, possessing strong SEC/FINRA xuwmhxw regulatory knowledge
• Experience advising Front Office stakeholders, supporting regulatory examinations, and maintaining compliance policies, procedures, and risk frameworks