Fixed Income Advisory -Compliance Officer

Client looking to move quicklyWide Exposure Across the FirmAbout Our ClientClient is a global leading Broker Dealer based out of London with offices in 60 countries around the world.Job DescriptionEnsure the firm complies with key regulations related to fixed income trading, including electronic, algorithmic, hybrid, and voice trading.Address inquiries from various fixed income business units to ensure compliance with applicable laws, regulations, and firm policies.Provide accurate and timely advice to the Business and other functions, handling inquiries and escalations from trading and operations staff.Review and advise on new business initiatives to ensure compliance with relevant regulations.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 inquiries.Draft, review, and revise manuals, policies, written supervisory procedures, screen protocols, trading rules, Form ATS exhibits, and other documents.Create and maintain controls for TRACE and RTRS trade reporting, Reg ATS, Rule 15a-6, and other applicable rules and regulations; perform assurance work as needed.Review trade exception reports and trading activity to ensure compliance with relevant rules, regulations, and firm policies.Design and implement surveillance reports and processes for various trading areas, and manage their implementation.Analyze rule proposals and amendments to assess their business impact and ensure proper implementation of final rules.Conduct periodic assessments and reviews to identify and address potential gaps.Develop and enhance supervisory reports as needed.Conduct periodic training sessions on compliance matters.Identify risks and provide solutions for risk mitigation.Work collaboratively with cross-functional teams, including Legal, Compliance, Risk, Client On-Boarding, AML Office, and IT.Fulfill additional or ad hoc duties as required to meet the needs of the business. MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants. The Successful ApplicantEssential:In-depth knowledge of fixed income businesses, securities markets, and applicable reporting requirements.7-10 years of experience supporting fixed income compliance at a broker-dealer.College degree required.Series 7 and 24 licenses or ability to obtain them upon hiring.Strong writing skills.Desired:Strong work ethic and the ability to work well with others.Excellent verbal and analytical skills.Aptitude for technical matters.Ability to manage multiple tasks simultaneously.Experience working with senior stakeholders.What's on OfferThe opportunity to eventually lead the fixed income advisory practice at a global leading broker dealer.ContactConnor DuenasQuote job refJN-102024-6579847

Created: 2025-02-21