Institutional Regulatory Officer
The Institutional Regulatory Officer will be primarily responsible for carrying out the supervisory program for Fixed Income Sales and Trading.
The candidate will serve as an intermediary between legal, compliance, operations and business professionals to advise and coordinate all matters pertaining to the Firm's on-going regulatory obligations.
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Design and complete the Firm's supervisory reviews and check lists.
- Design, update and implement the Firm's written supervisory procedures and exception reports in conjunction with legal and compliance.
- Provide daily guidance to sales and trading staff as it relates to interpretive questions or policy matters.
- Acts as a delegate for FICM managers by providing direct supervisory oversight of all institutional Fixed Income sales and trading activity.
- Liase with compliance to formulate responses to regulatory inquiries and exams.
- Contribute to internal committees as needed.
- Monitor employee trading, outside accounts, outside business activities, gifts and private securities transactions.
- Monitor electronic communications.
$90,000 - $100,000 base salary
QUALIFICATIONS
- Excellent knowledge of FINRA and SEC regulations governing fixed income sales and trading including, but not limited to, trade reporting, markups / fair pricing, suitability and sales practice obligations is preferred.
- Previous experience in a sales and trading environment preferred.
- Must be extremely detail oriented, self-motivated, take initiative, work under pressure, commit to time constraints and occasionally work long hours.
EDUCATION AND EXPERIENCE
- Minimum required : B.S. or B.A. in Finance or Economics or equivalent combination of education and experience.
- Minimum required : 1-3 years of related experience.
LICENSES AND CREDENTIALS
- Minimum required : FINRA Series 7, 63, and 24.
- Preferred : FINRA Series 53, 55 / 57
SYSTEMS AND TECHNOLOGY
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook.
- Working knowledge of Bloomberg and BETA / other OMS is preferred.
- Proficiency with SQL / Microsoft SQL Server preferred.
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