VP, Compliance Officer: Fixed Income

Responsibilities

• Provide immediate regulatory advice and support to front-office teams.
• Draft and update firm policies, ensuring compliance with SEC, FINRA, and MSRB regulations.
• Regularly update written supervisory procedures and distribute regulatory memoranda internally.
• Conduct compliance training on new regulations and firm policies.
• Monitor TRACE and MSRB reporting, circulating performance metrics.
• Perform electronic communications surveillance and trade reconstructions.
• Draft responses to fixed-income-related regulatory inquiries and internal audits.
• Conduct on-site branch office inspections and ad hoc investigations.
• Stay updated on regulatory initiatives and their implications for the firm.

Qualifications

• Must have 1 to 4 years of experience in a fixed-income compliance role at a FINRA registered broker-dealer.
• Proficiency with broker-dealer trading and back-office systems, including Bloomberg TOMS.
• In-depth knowledge of SEC, FINRA, and MSRB regulations applicable to fixed-income products.
• Experience with fixed-income trade surveillance and regulatory initiatives.
• Working knowledge of trade reporting, mark-ups, institutional suitability, and other key fixed-income regulatory topics.
• Familiarity with structured products, MBS, and private debt offerings is an advantage.
• Bachelor’s degree, FINRA Series 7 license, and Series 24 and 53 licenses are required.
• A law degree is desirable but not mandatory.
• Excellent communication and interpersonal skills for effective collaboration with front-office personnel.

Pay

Starting at $130,000 plus bonus. The actual base salary will be determined on an individualized basis considering a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package (including health, vision, and dental insurance, paid time off and a 401(k) retirement), this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).