Assist in the advisory and overarching core compliance of the firm from a fixed-income perspective.
Client Details
Client is a large (12,000+ employee) global financial institution offering a wide variety
Description
- Oversee the fixed income supervision and surveillance program
- Ensure accuracy of written supervisory procedures and organizational structure
- Provide assistance to the trading desk with real-time inquiries
- Evaluate industry enforcement actions and regulatory changes relevant to Cantor
- Review historical activities to support regulatory responses
- Conduct training for new hires and provide targeted training for sales and trading teams
- Perform electronic communications reviews on behalf of supervisors
Profile
- 2-4 years of experience focused on fixed income surveillance and advisory
- Strong understanding of fixed income market structure, sales, trading best practices, and TRACE
- Familiarity with order management systems such as Bloomberg TOMS and surveillance tools
- Excellent interpersonal, verbal, and written communication skills
- Ability to analyze, organize, and prioritize tasks effectively to meet internal and external deadlines
- Quick learner with a proactive and team-oriented approach
- Professional and confidential work ethic
- SIE, Series 7, and Series 24 required for the role, but not a prerequisite
Job Offer
Opportunity to grow and be exposed to every facet of broker dealer compliance.
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