Fixed Income Advisory - Compliance Officer

• Ensure the firm complies with key regulations related to fixed income trading, including electronic, algorithmic, hybrid, and voice trading.
• Address inquiries from various fixed income business units to ensure compliance with applicable laws, regulations, and firm policies.
• Provide accurate and timely advice to the Business and other functions, handling inquiries and escalations from trading and operations staff.
• Review and advise on new business initiatives to ensure compliance with relevant regulations.
• Manage and respond to regulatory examinations, investigations, and inquiries related to the firm's fixed income businesses.
• Ensure timely filing of regulatory reports and updates and respond to any regulatory inquiries.
• Draft, review, and revise manuals, policies, written supervisory procedures, screen protocols, trading rules, Form ATS exhibits, and other documents.
• Create and maintain controls for TRACE and RTRS trade reporting, Reg ATS, Rule 15a-6, and other applicable rules and regulations; perform assurance work as needed.
• Review trade exception reports and trading activity to ensure compliance with relevant rules, regulations, and firm policies.
• Design and implement surveillance reports and processes for various trading areas, and manage their implementation.
• Analyze rule proposals and amendments to assess their business impact and ensure proper implementation of final rules.
• Conduct periodic assessments and reviews to identify and address potential gaps.
• Develop and enhance supervisory reports as needed.
• Conduct periodic training sessions on compliance matters.
• Identify risks and provide solutions for risk mitigation.
• Work collaboratively with cross-functional teams, including Legal, Compliance, Risk, Client On-Boarding, AML Office, and IT.
• Fulfill additional or ad hoc duties as required to meet the needs of the business.

MPI 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.