Fixed Income Compliance Officer

Company:
The Forum Group
Location:
New York City, NY
Job Type:
Full Time
Category:
Capital Markets
Posted:
1/16/2013

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Job Description



Significant experience working in a compliance or related function.

Understanding of the application of SEC, FINRA and MSRB Regulations applicable to fixed income products, sales and trading.

Understanding of Regulations ATS and familiarity with current market structure issues applicable to fixed income products, sales and trading.

Familiarity with broker dealer systems and applications.

Strong written and verbal skills.

Experience in designing an effective compliance program

Ability to identify and analyze issues and provide clear & sensible solutions in light of the relevant legal & regulatory requirements.

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