Monday, September 19, 2016

RECRUITING: Director of Fixed Income Compliance Location: Confidential SUMMARY: Experienced Broker-Dealer Compliance Officer to support Debt Capital Markets business

The position will report to and may shortly replace the Chief Compliance Officer (CCO) for a FINRA Member Investment Bank (Broker-Dealer). The candidate must have a deep understanding of FINRA, S.E.C, MSRB, all rules and regulations relevant to the underwriting, sales, trading of fixed income securities.

Responsibilities include
Participate in the development and maintenance of comprehensive written supervisory procedures by providing guidance to business units
• Work closely with management to provide analysis and resolution of daily compliance matters as well as implementation of new rules
• Assist in conducting on-going surveillance, reviews and testing and maintaining proper documentation of all reviews conducted by the compliance department
• Research and respond to regulatory inquiries on an going basis, as necessary
• Assist with the coordination of examinations with various government and regulatory organizations
• Assist in internal and external examinations, including follow-up actions
• Participate in development and implementation of employee training
• Keep abreast of proposed compliance rules and regulatory requirements, participate in Industry forums, committees. Perform other compliance duties, as necessary

Qualifications and Work Experience Required:

5 or more years’ experience working in fixed income securities compliance, underwriting, trading or operations. Series 7 and 24. Series 53 preferred as is a current senior Compliance Officer title.
• Must have demonstrated Project Management as a FINRA Member Compliance Officer. Ability to work both independently and in a team environment
• Broad knowledge of Broker-Dealer operations, deep understanding of sales and trading of fixed income securities, investment banking rules and regulations relevant to these.
• Competitive compensation package commensurate with experience. 401(k) plan, paid vacation, medical, dental insurance plans, flexible spending accounts.

Please e-mail resume and brief cover letter to:
Website has more information including phone number which is the best way to make contact to learn more about the opportunity, exact location, discuss compensation and your candidacy:

Twitter Updates

    follow me on Twitter

    Call Rosenthal Recruiting to Discuss your Hiring Needs and Career

    (973) 826-0537