FICC Compliance Advisory Trading Associate

Greenwich, CT



  • Provide real time advisory compliance support for the firm’s Trading staff focusing on fixed income, futures and commodities products.
  • Research, interpret and advise the firm regarding compliance with derivative laws, regulations and guidance applicable to the firm.
  • Draft written policies and procedures to respond to new regulations or to launch new business lines.
  • Assist in refining surveillance and control systems to ensure that alert output is meaningful and valid.
  • Monitor firm’s compliance with position limit, delivery and reporting rules.
  • Assist in responding to regulatory inquiries from the US and foreign financial authorities concerning FICC trading.
  • Identify, escalate, and assist with resolution of trading issues, with an emphasis on process improvement.
  • Ensure a collaborative working environment between Investment Management, Business Control, Operational Risk, and Compliance.








  • Min of 5-7 yrs of exp in financial services (investment banks/broker dealers, asset management)
  • Knowledge of SEC, CFTC, NFA and DCM rules including CTO, CPA and speculative position limits






Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 10/9/2018
Salary $100,000- $175,000 + Bonus

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