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Compliance Officer - Trade Floor Support, Fixed Income/Regulatory

Company: Procom Services
Location: New York
Posted on: November 22, 2021

Job Description:

Compliance Officer - Trade Floor Support, Fixed Income/Regulatory Contract - 4 Months - 20 October 2021 - New York, NY United States Compliance Officer - Trade Floor Support, Fixed Income/Regulatory On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Officer - Trade Floor Support, Fixed Income/Regulatory. Compliance Officer - Trade Floor Support, Fixed Income/Regulatory - Job Description

  • Provide compliance coverage of certain FICC Sales & Trading Desks, providing assistance in any the following areas: Investment Grade Credit, High Yield Credit, Distressed Debt, Loans, Convertibles
  • Provide compliance coverage of certain FICC Sales & Trading Desks, which may include providing assistance in any the following areas: Investment Grade Credit, High Yield Credit, Distressed Debt, Loans, Convertibles
  • Monitor regulatory developments and assist in implementation of controls relating to rules and regulations
  • Develop and conduct trainings on business/regulatory matters
  • Develop and maintain policies and procedures to comply with new regulatory requirements
  • Assist with exams from internal audit and act as liaison with external regulators
  • Assist in enhancing and developing surveillance reports as necessary
  • Review new product and business initiatives from a compliance perspective
  • Work on regulatory inquiries Compliance Officer - Trade Floor Support, Fixed Income/Regulatory - Mandatory Skills
    • 3+ years strong client/customer relationship skills in dealing with inquiries/issues
    • 3+ years understanding/exposure to Compliance, governing regulations (Finra specifically with regards to inquiries, or SCC)
    • Solid understanding of broker-dealer business and trading floor environment
    • Basic Microsoft applications
    • Excellent writing, analytical and communication skills Compliance Officer - Trade Floor Support, Fixed Income/Regulatory - Nice to Have Skills
      • Series 7, 24 or 63 exam completion preferred
      • Fixed income background strongly preferred Compliance Officer - Trade Floor Support, Fixed Income/Regulatory - Assignment Start Date ASAP - 4 months to start Compliance Officer - Trade Floor Support, Fixed Income/Regulatory - Assignment Location Procom is one of North America's leading providers of Staffing and Contract Workforce Services. Procom is always looking for the best and brightest talent to join our Clients' project teams.

Keywords: Procom Services, New York , Compliance Officer - Trade Floor Support, Fixed Income/Regulatory, Other , New York, New York

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