**Essential Duties and Responsibilities** As a core member of the Compliance team, you will serve as a subject matter expert on securities industry regulations and firm policies, ensuring adherence while enabling business growth. Responsibilities include, but may not be limited to: + **Advisory & Support:** Provide hands-on compliance guidance to Fixed Income Sales & Trading teams. Collaborate closely with front-office professionals to interpret regulations, apply firm policies, and support business objectives in real time. You will be heavily integrated with Sales & Trading and Middle Office teams. + **Program Oversight:** Manage and enhance compliance processes, policies, and procedures to ensure adherence to regulatory requirements. Lead compliance-related projects and change initiatives from inception through completion, including cross-department coordination. Prepare presentations for business and compliance leadership. + **Regulatory Analysis:** Research and analyze new or updated regulations to assess impact, identify trends, and implement necessary changes. + **Operational Review:** Ensure compliance with regulatory reporting requirements, trade confirmations and other operations/ middle office functions. + **Process Enhancement:** Identify, recommend and collaborate with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. + **Monitoring & Reporting:** Oversee exception reports, review corrective actions, and prepare compliance reports for management and regulators. + **Representation:** Serve as a compliance liaison on internal committees and represent the firm at industry conferences or regulatory forums. **Knowledge, Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices and procedures of securities industry compliance. + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies. + Concepts, practices and procedures used in the securities industry. + Principles of finance and securities industry operations. + Financial markets and products. **Advanced Skill in:** + Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Identifying and applying appropriate compliance monitoring procedures and tests. + Preparing oral and/or written reports. + Investigating compliances issues and irregularities. + Making rule-based and analytical decisions. + Strong verbal and written communication. + Operating standard office equipment and using required software applications. **Ability to:** + Partner with other functional areas to accomplish objectives. + Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. + Attend to detail while maintaining a big-picture orientation. + Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. + Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels. + Work independently as well as collaboratively within a team environment. + Establish and maintain effective working relationships at all levels of the organization. + Maintain confidentiality. + Maintain currency in laws, rules and regulations related to compliance in assigned functional area. + Interpret and apply policies and identify and recommend changes as appropriate. + Quantitatively and/or qualitatively process data. + Formulate and implement department strategies consistent with long-term company goals. + Promote team cohesiveness, cooperation, and effectiveness. **Educational/Previous Experience Requirements** + Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in Compliance and/or the financial services industry. ~or~ + Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** + None Required. + Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. Salary Range- $110,000- $120,000