Save Job Back to Search Job Description Summary Similar JobsClient looking to move quicklyWide exposure across the firmAbout Our ClientClient is a large (12,000+ employee) global financial institution offering a wide varietyJob DescriptionOversee the fixed income supervision and surveillance programEnsure accuracy of written supervisory procedures and organizational structureProvide assistance to the trading desk with real-time inquiriesEvaluate industry enforcement actions and regulatory changes relevant to CantorReview historical activities to support regulatory responsesConduct training for new hires and provide targeted training for sales and trading teamsPerform electronic communications reviews on behalf of supervisorsMPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.The Successful Applicant2-4 years of experience focused on fixed income surveillance and advisoryStrong understanding of fixed income market structure, sales, trading best practices, and TRACEFamiliarity with order management systems such as Bloomberg TOMS and surveillance toolsExcellent interpersonal, verbal, and written communication skillsAbility to analyze, organize, and prioritize tasks effectively to meet internal and external deadlinesQuick learner with a proactive and team-oriented approachProfessional and confidential work ethicSIE, Series 7, and Series 24 required for the role, but not a prerequisiteWhat's on OfferOpportunity to grow and be exposed to every facet of broker dealer compliance.ContactConnor DuenasQuote job refJN-112024-6594590Job summarySectorBanking & Financial ServicesSub SectorCompliance & LegalIndustryFinancial ServicesLocationNew YorkContract TypePermanentConsultant nameConnor DuenasJob ReferenceJN-112024-6594590
