"Alerted.org

Essential Duties and Responsibilities

As a core member of the Compliance team, you will serve as a subject matter expert on securities industry regulations and firm policies, ensuring adherence while enabling business growth.

Responsibilities include, but may not be limited to:

+ **Advisory & Support:** Provide hands-on compliance guidance to Fixed Income Sales & Trading teams. Collaborate closely with front-office professionals to interpret regulations, apply firm policies, and support business objectives in real time. You will be heavily integrated with Sales & Trading and Middle Office teams.

+ **Program Oversight:** Manage and enhance compliance processes, policies, and procedures to ensure adherence to regulatory requirements. Lead compliance-related projects and change initiatives from inception through completion, including cross-department coordination. Prepare presentations for business and compliance leadership.

+ **Regulatory Analysis:** Research and analyze new or updated regulations to assess impact, identify trends, and implement necessary changes.

+ **Operational Review:** Ensure compliance with regulatory reporting requirements, trade confirmations and other operations/ middle office functions.

+ **Process Enhancement:** Identify, recommend and collaborate with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems.

+ **Monitoring & Reporting:** Oversee exception reports, review corrective actions, and prepare compliance reports for management and regulators.

+ **Representation:** Serve as a compliance liaison on internal committees and represent the firm at industry conferences or regulatory forums.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

+ Concepts, practices and procedures of securities industry compliance.

+ Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

+ Concepts, practices and procedures used in the securities industry.

+ Principles of finance and securities industry operations.

+ Financial markets and products.

Advanced Skill in:

+ Planning and scheduling work to meet regulatory organizational and regulatory requirements.

+ Identifying and applying appropriate compliance monitoring procedures and tests.

+ Preparing oral and/or written reports.

+ Investigating compliances issues and irregularities.

+ Making rule-based and analytical decisions.

+ Strong verbal and written communication.

+ Operating standard office equipment and using required software applications.

Ability to:

+ Partner with other functional areas to accomplish objectives.

+ Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

+ Attend to detail while maintaining a big-picture orientation.

+ Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

+ Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

+ Work independently as well as collaboratively within a team environment.

+ Establish and maintain effective working relationships at all levels of the organization.

+ Maintain confidentiality.

+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

+ Interpret and apply policies and identify and recommend changes as appropriate.

+ Quantitatively and/or qualitatively process data.

+ Formulate and implement department strategies consistent with long-term company goals.

+ Promote team cohesiveness, cooperation, and effectiveness.

Educational/Previous Experience Requirements

+ Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in Compliance and/or the financial services industry.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

+ None Required.

+ Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.

Salary Range- $110,000- $120,000