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Business Line Compliance Officer - Senior Analyst (Fixed Income & Equities Advisory)
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Job Description
- Req#: 3811881
Employer Industry: Financial Services
Why consider this job opportunity:
- Salary up to $95,000
- Eligible for a performance-based bonus
- Comprehensive health coverage including medical, dental, and vision insurance
- Opportunity for career advancement and growth within a fast-growing organization
- Flexible working arrangements, including remote work options
- Employee recognition programs and wellness support initiatives
What to Expect (Job Responsibilities):
- Assist the Control Room with daily monitoring of emails, deal entries, and communication with deal teams
- Monitor and maintain accurate statuses of deals in the Investment Banking and Capital Markets pipeline
- Participate in special projects and assist with the integration of compliance vendor tools
- Support the Investment Banking deal team with regulatory filings and manage pipeline reports
- Provide advisory support for Fixed Income and Equity projects, including policy development and documentation
What is Required (Qualifications):
- Bachelor's Degree
- 2-4 years of experience in compliance or a related field at a broker-dealer or similar financial institution
- Strong analytical skills with the ability to identify issues and problem-solve
- Excellent verbal and written communication, drafting, and proofreading skills
- Proficiency with Microsoft applications (Teams, SharePoint, Excel, Word, etc.)
How to Stand Out (Preferred Qualifications):
- Active Series 24 License (or ability to obtain within 120 days of start date)
- Knowledge of Fixed Income products and familiarity with TRACE reporting
- Familiarity with Equity Markets and reporting requirements such as CAT/CAIS
- Experience with first-line surveillance of business activities and related tools
- Previous experience interpreting SEC, FINRA, MSRB rules and writing WSPs
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