Michael Page
Broker Dealer Compliance Generalist - Fixed Income
Michael Page, New York, New York, us, 10261
Client looking to move quickly
Wide Exposure Across the Firm
About Our Client
Client is a top, long-standing, global financial services firma and investment bank.
Job Description
Provide
real-time compliance advisory
support to front office personnel on fixed income trading activity, including municipal securities, corporate bonds, U.S. Treasuries, and structured products. Interpret and apply regulatory requirements (e.g., SEC, FINRA, MSRB) in support of business initiatives, ensuring alignment with applicable laws and internal policies. Review and enhance
compliance policies and procedures , with a focus on fixed income trading, customer communications, trade reporting (e.g., TRACE), and suitability. Assist in the development and execution of
compliance monitoring and surveillance
reviews related to fixed income trading and sales practices. Support internal investigations and respond to regulatory inquiries or exams, including drafting responses and gathering relevant documentation. Partner with legal, risk, operations, and technology teams to assess regulatory change impacts and implement effective control solutions. Conduct and support
compliance training
for business personnel on key regulatory topics and firm policies. Contribute to the
review of marketing materials and client communications
to ensure compliance with applicable regulations and disclosure standards. Maintain awareness of industry best practices, enforcement trends, and regulatory developments affecting fixed income markets and broker-dealer activities. MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
The Successful Applicant
Bachelor's degree required; advanced degree or relevant certifications (e.g., Series 7, 24, 52, or JD) a plus. 3-7 years of compliance experience
within a broker-dealer environment, with a strong working knowledge of
fixed income products and markets . Familiarity with key regulations and rules applicable to broker-dealers, including SEC, FINRA, MSRB, and Dodd-Frank requirements. Experience providing compliance advisory support to front office trading or sales desks preferred. Working knowledge of trade reporting systems (e.g., TRACE) and surveillance tools a plus. Strong communication skills with the ability to effectively interact with business staff, control functions, and regulators. Highly organized, detail-oriented, and able to manage multiple priorities in a fast-paced environment.
What's on Offer
Candidate will have the ability to grow tremendously within this role due to it's wide exposure internally and large product offering.
Contact
Connor Duenas
Quote job ref
JN-072025-6798845
Client is a top, long-standing, global financial services firma and investment bank.
Job Description
Provide
real-time compliance advisory
support to front office personnel on fixed income trading activity, including municipal securities, corporate bonds, U.S. Treasuries, and structured products. Interpret and apply regulatory requirements (e.g., SEC, FINRA, MSRB) in support of business initiatives, ensuring alignment with applicable laws and internal policies. Review and enhance
compliance policies and procedures , with a focus on fixed income trading, customer communications, trade reporting (e.g., TRACE), and suitability. Assist in the development and execution of
compliance monitoring and surveillance
reviews related to fixed income trading and sales practices. Support internal investigations and respond to regulatory inquiries or exams, including drafting responses and gathering relevant documentation. Partner with legal, risk, operations, and technology teams to assess regulatory change impacts and implement effective control solutions. Conduct and support
compliance training
for business personnel on key regulatory topics and firm policies. Contribute to the
review of marketing materials and client communications
to ensure compliance with applicable regulations and disclosure standards. Maintain awareness of industry best practices, enforcement trends, and regulatory developments affecting fixed income markets and broker-dealer activities. MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
The Successful Applicant
Bachelor's degree required; advanced degree or relevant certifications (e.g., Series 7, 24, 52, or JD) a plus. 3-7 years of compliance experience
within a broker-dealer environment, with a strong working knowledge of
fixed income products and markets . Familiarity with key regulations and rules applicable to broker-dealers, including SEC, FINRA, MSRB, and Dodd-Frank requirements. Experience providing compliance advisory support to front office trading or sales desks preferred. Working knowledge of trade reporting systems (e.g., TRACE) and surveillance tools a plus. Strong communication skills with the ability to effectively interact with business staff, control functions, and regulators. Highly organized, detail-oriented, and able to manage multiple priorities in a fast-paced environment.
What's on Offer
Candidate will have the ability to grow tremendously within this role due to it's wide exposure internally and large product offering.
Contact
Connor Duenas
Quote job ref
JN-072025-6798845