Fixed Income Compliance Specialist

4 days ago


New York, New York, United States Michael Page Full time
Job Title: Fixed Income Compliance Specialist

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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