What are the responsibilities and job description for the Fixed Income Compliance - Senior Associate position at JCW?
JCW is partnered with a leading Investment Bank/Broker-Dealer as they're looking to hire a Fixed Income compliance professional. An ideal candidates will have prior experience with Fixed Income compliance advisory and surveillance.
Day-to-day you will:
- Provide compliance advice to the fixed income trading desk.
- Assisting with drafting and testing of compliance policies and procedures.
- Assist with trade surveillance responsibilities.
- Respond to fixed income related regulatory inquiries.
You should apply if you:
- Have 2 years in Fixed Income compliance.
- Possess a strong knowledge of FINRA, SEC, and MSRB regulations.
Salary : $110,000 - $140,000
