Compliance Sr. Manager Fixed Income

Essential Duties and Responsibilities

• Analyzes rules and regulations, writes policies and procedures, and manages key projects from inception to completion.
• Provides day-to-day compliance support for Fixed Income business areas, and serves as a resource on compliance issues to business unit.
• Develops and implements continuing education and training programs for the department.
• Oversees compliance exception reporting processes and approves corrective actions.
• Partner with business units to recommend policy and process changes to Senior Management.
• May drive regulatory change initiatives.
• Ensures effective coordination occurs within assigned work group and with other work groups.
• Identifies, recommends and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.
• May serve as a compliance liaison on various committees and projects representing the interest of the department.
• Attends and may deliver presentations at industry-related conferences.
• Researches regulatory updates to identify linkages and trends and apply findings.
• Performs periodic reporting on compliance and operational issues as required.
• May coach, train and mentor other Compliance associates.
• Balances conflicting resource and priority demands.
• Performs other duties and responsibilities as assigned.

• 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.

• 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.

• Partner with other functional areas to accomplish objectives.
• Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.
• Attention 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.

• 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.

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

• None Required.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Salary Range- $110,000- $120,000