Bonds Compliance Officer

Michael Page International represents the following client.

About the company :

Our client is an International Broker Dealer firm.

Job description :

The Bond Compliance Officer will have previous employment experience with bond trading desk or SRO compliance. The Bonds Compliance Officer must be comfortable working in an automated, hands-on environment. Competitive salary and benefits including bonuses and profit sharing.

- Compliance monitoring of the firms bond trading business including reviewing corporate bond trade tickets and surveillance reports for execution quality and compliance with mark up policies

- Responding to regulatory inquiries and customer communications regarding specific bond trades by providing relevant books and records, utilizing investigative skills and knowledge of the industry to thoroughly research, analyze and resolve any issues.

- Design and implement of training with regard to market rules and regulations.

- Insider Trading Monitoring and Reviews

- Policies and procedures regarding supervisory control functions and operational procedures.

Who we are looking for :

The Bond Compliance Officer will have met the following requirements:

- Bachelors degree.

- Minimum of 5 years previous employment experience with a bond dealer or SRO.

- Securities licenses: Series 7& 24 preferred.

Whats on offer :

Competitive salary and benefits including bonuses and profit sharing.