A Little Bit About The Company

An investment banking, capital markets, wealth management and financial services firm that has been in operations for almost a century seeks an experienced Compliance professional.

This important position is primarily responsible for performing various compliance and audit functions for Capital Markets, including both equity and fixed income, to ensure compliance with rules, regulations and procedures established by the company and/or regulatory agencies.

The role will report into the Deputy Chief Compliance Officer.

Here’s What You Will Be Involved With

  • Investigate, establish, maintain and enforce regulatory policies and procedures for Capital Markets through various surveillance activities to ensure adherence with firm policies and procedures, rules and regulations and federal and state laws
  • Assist with the planning, direction and administration of the Fixed Income Capital Markets compliance program, including all compliance oversight for public finance, municipal advisory, underwriting, trading and sales activities within Fixed Income Capital Markets.
  • Provide compliance oversight regarding the public finance business, including compliance with MSRB Rules G-17, as well as the Firm’s compliance with its policies and applicable laws and regulations relating to its municipal securities underwriting business.
  • Provide compliance oversight regarding the Firm’s municipal advisory business, including compliance with MSRB Rule G-23 and G-42, as well as the Firm’s compliance with its policies and applicable laws and regulations relating to municipal advisory business.
  • Perform Capital Markets targeted reviews to identify possible violations of industry rules and regulations and firm policies and procedures. Work with the Capital Markets Compliance team, Operations and business personnel on items needing additional follow-up and/or further inquiry. Prepare written reports to management documenting all areas of potential non-compliance.  Develop a corrective plan and perform additional surveillance to ensure ongoing compliance.
  • Assist in the development and coordination of the Firm’s branch office audit program. Schedule and conduct audits to ensure compliance with applicable securities industry regulations and the Firm’s policies and procedures. Prepare written reports to senior management documenting all areas of non-compliance and develop a corrective action plan to ensure compliance.
  • Investigate, review and follow up on customer complaints, arbitrations, regulatory investigations and inquiries; work with the Compliance Department and/or the Registration Department personnel to file any necessary FINRA 4530 filings or Form U4 amendments for customer complaints and disclosures
  • Serve as point of contact for any Fixed Income-related regulatory exams or investigations and work to implement any necessary corrective action.
  • Assist in responding to compliance and disclosure-related questions in RFPs.
  • Participate in reviewing and determining the impact and requirements of new and/or amended security industry laws and regulations, recommend policy and procedural changes and work with business unit personnel to implement any necessary changes or additions to policy and procedures.
  • Assist in reviewing and updating the Firm’s Written Supervisory Procedures manual.
  • Participate in the development of and assist in conducting the annual compliance meeting with all registered individuals within Fixed Income Capital Markets, in order to fulfill regulatory requirements and maintain a well-informed and educated staff.
  • Assist with the review and approval process of advertising and sales literature to ensure compliance with industry rules and regulations.
  • Participate in the overall development and administration of the Firm’s general compliance function and program.


The Background The Company Would Like You To Have:

  • Bachelor’s degree in Business, Finance or related Field or significant industry work experience. 
  • Proficient knowledge of FINRA, SEC, MSRB and state jurisdiction rules and regulations related to securities compliance, particularly in the areas of Public Finance and Fixed Income Trading.
  • Successful completion of FINRA Securities Industry Essentials Exam and General Securities Representative Exam (Series 7), Uniform Combined Securities State Law Exam (Series 66 or 63 or 65), General Securities Principal (Series 24) and Municipal Securities Principal Exam (Series 53) within 180 days if the licenses are not currently held.

If you are interested in this role, please email resumes to Jack Kelly at Jack@ComplianceSearch.com.

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