Fixed Income Compliance Specialist
4 days ago
At Michael Page, we are seeking a highly skilled Fixed Income Compliance Specialist to provide expert guidance and support to our clients' fixed income trading and operational functions.
Key Responsibilities:
- Ensure compliance with fixed income trading regulations, including timely filings, adherence to firm policies, and managing regulatory examinations and inquiries.
- Provide accurate and timely guidance to business units, review new initiatives, and address escalations to support compliance with applicable laws and regulations.
- Develop, implement, and maintain policies, procedures, controls, and surveillance processes to monitor trading activities and ensure regulatory adherence (e.g., TRACE, RTRS, Reg ATS, Rule 15a-6).
- Analyze regulatory changes, assess business impact, implement required updates, and conduct periodic reviews to identify and remediate compliance gaps.
- Collaborate with cross-functional teams, provide training, and develop supervisory and risk mitigation reports to enhance compliance and support business operations.
Requirements:
- 7-10 years of experience supporting fixed income compliance at a broker-dealer;
- College Degree is required;
- Series 7 and 24 or ability to obtain the licenses upon hiring; and
- Strong writing skills.
What We Offer:
- Competitive Base + Bonus; $120,000 - $150,000 per year (estimated salary)
- Hybrid Working Model;
- Medical, Dental, Vision, 401K benefits;
- A dynamic and supportive work environment.
MICHAEL PAGE IS AN EQUAL OPPORTUNITY EMPLOYER AND VALUES DIVERSITY IN THE WORKPLACE. WE ARE COMMITTED TO PROVIDING A SAFE AND INCLUSIVE WORK ENVIRONMENT FOR ALL EMPLOYEES AND APPLICANTS.
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