Global Debt Markets Compliance Officer

Requisition Number:  95664 Position Title:  Global Debt Markets Compliance Officer Position Type:  Full-Time Position Category:  Audit/Compliance/Legal Relocation:  No Job Description:  • Provide proactive support to the Business in order to ensure compliance with regulatory rules and regulations. • Resolve compliance issues on a timely basis. Requirements:  • Broker / dealer capital markets fixed income experience. • Prefer someone with experience in one or more of the following areas: Municipal Finance, Sales and Trading, Government Sponsored Entities, and Credit Research. • Experience in conducting branch inspections. • Exceptional communication skills • Ability to work in a fast paced environment • Series 7, 53, and 24 license. Strongly preferred. • Professional and collegial. • A minimum of five years of fixed income compliance experience. • 30% Travel required. Key Accountabilities:  • Provide compliance support to municipal finance investment banking, sales and trading, tender option bond program, infrastructure finance, short term origination, sales and trading for both retail and institutional business, government sponsored entities (GSE) business, loan trading, and credit research. • Conduct and communicate the results of branch reviews to Compliance Management. • Assist in updating policies and procedures. • Assist in responding to regulatory inquiries. • Special projects. Experience:  Less than 1 year Education:  BA/BS Accreditations:  Series 7,53, 24 license pref'd Skills:  See Above Minimum Salary:  Not Available Maximum Salary:  Not Available We thank all interested candidates however only those selected for an interview will be contacted. If interested, please apply online at http://track.jobviper.com/ViewJob.asp?id=560124-3-793