Fixed Income Compliance Associate | Experienced Hire

Overview

We are seeking a highly motivated individual to join our team as a Fixed Income Compliance Associate. You will be directly involved in reviewing all aspects of the Firm’s fixed income trading activity including Corporate Bonds, Agency Bonds, United States Treasury Bonds and Municipal Bonds. As part of the team you will be responsible for reviewing the Firm’s Transaction Reporting and Compliance Engine (TRACE) Reports for Corporate, Agency and Treasury bonds and the Real Time Reporting of Municipal Securities (RTRS) for Muni bonds. You will review exception reports and follow up on and maintain documentation around such exceptions. The Fixed Income Compliance Associate will work closely with the Firm’s Compliance Director, Business Heads and Technology Department to provide regulatory advise to ensure compliance with all applicable security laws, provide a compliance perspective on new business initiatives and provide valuable insight into new and improved technology initiatives within the fixed income space.    

In this role, you will:

• Review the Firm’s books and records and compare them to TRACE and RTRS for accurate reporting.
• Review Compliance Technology generated exception reports on a daily basis and maintain accurate documentation regarding each exception.
• Work closely with the Compliance Director with regards to Regulatory Inquiries and pull the necessary data needed for such responses.
• Collaborate with various departments on the development of new exception reports as the fixed income space evolves and work with current stakeholders on the improvement of existing reports.
• Daily email review of fixed income trading and sales associates as required by securities law.
• Develop and maintain relationships with fixed income sales and trading and become a point of contact for any compliance issues that may arise.

What we’re looking for

• Bachelor’s degree in finance or a related field
• 4 years of experience in fixed income compliance working with a Broker Dealer
• Proficiency in Microsoft Excel
• Deep knowledge of fixed income trading and reporting rules.
• Experience navigating the TRACE and RTRS applications and interpreting such data and activity.
• Excellent communication and interpersonal skills, with the ability to collaborate effectively with internal and external stakeholders.
• Ability to work independently and prioritize tasks in a fast-paced environment

Susquehanna does not accept unsolicited resumes from recruiters or search firms. Any resume or referral submitted in the absence of a signed agreement will become the property of Susquehanna and no fee will be paid.

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