Qualified applicant will have over 3-5 years in financial services industry, preferably at a fixed income broker dealer and self clearing firm. This individual will report to the Chief Compliance Officer and will be involved in all aspects of regulation and compliance at a fixed-income broker-dealer.

Responsibilities include but are not limited to:

• Provide assistance to the Chief Compliance Officer and other members of the Compliance Department in all aspects of the compliance function.
• Conduct oversight of the account opening process.
• Process registrations and other on-boarding functions for new employees.
• Conduct surveillance, monitoring, and testing reviews.
• Conduct email and communications reviews.
• Participate in development and delivery of compliance training.
• Update supervisory and compliance manuals; recommend changes when warranted.
• Keep current on laws and regulations, including those promulgated by SEC, FINRA and state jurisdictions.
• Maintain firm and registered representative licenses and approvals in various jurisdictions.
• Assist in responding to inquiries and examinations by regulators.
• Assist registered representatives and supervisors in all aspects of regulatory compliance.

Qualified applicant will have several years experience in Fixed Income Institutional Sales. Excellent communication and organizational skills are a must.

Job Skills and Qualifications include but are not limited to:

• Knowledge of all mortgage backed and asset backed products.
• Existing relationships with securities lenders, asset managers, hedge funds and banks.
• A strong desire for an entrepreneurial opportunity.