VP, Compliance Officer: Fixed Income

Cantor Fitzgerald•New York, NY

12h•Onsite

About The Position

The VP, Compliance Officer will play a crucial role in offering real-time advice and guidance to the trading and sales teams, ensuring the firm's activities adhere to regulatory standards. This position demands a deep understanding of fixed-income regulations and the ability to navigate a fast-paced, high-pressure environment.

Requirements

1 to 4 years of experience in a fixed-income compliance role at a FINRA registered broker-dealer.
Proficiency with broker-dealer trading and back-office systems, including Bloomberg TOMS.
In-depth knowledge of SEC, FINRA, and MSRB regulations applicable to fixed-income products.
Experience with fixed-income trade surveillance and regulatory initiatives.
Working knowledge of trade reporting, markups, institutional suitability, and other key fixed-income regulatory topics.
Bachelors degree, FINRA Series 7 license, and Series 24 and 53 licenses are required.
Excellent communication and interpersonal skills for effective collaboration with front-office personnel.

Nice To Haves

Familiarity with structured products, MBS, and private debt offerings is an advantage.
A law degree is desirable but not mandatory.

Responsibilities

Provide immediate regulatory advice and support to front-office teams.
Draft and update firm policies, ensuring compliance with SEC, FINRA, and MSRB regulations.
Regularly update written supervisory procedures and distribute regulatory memoranda internally.
Conduct compliance training on new regulations and firm policies.
Monitor TRACE and MSRB reporting, circulating performance metrics.
Perform electronic communications surveillance and trade reconstructions.
Draft responses to fixed-income-related regulatory inquiries and internal audits.
Conduct on-site branch office inspections and ad hoc investigations.
Stay updated on regulatory initiatives and their implications for the firm.