FICC Compliance

Job Purpose:

BTIG seeks a Compliance professional to join the Compliance team in our New York or San Francisco office. This individual will handle multiple tasks concentrated within BTIG’s FICC Compliance group, including general compliance support for the Fixed Income, Futures and FX business lines. Title and responsibilities will depend on candidate’s background, work history and Compliance experience. 

This individual must be well-organized, production-oriented and detail driven.  Candidate will possess qualities such as personability, professionalism, enthusiasm, and self-motivation. Candidate will have the ability to work in a fast-paced environment, will take a solution-based approach to daily tasks and will collaborate well with her/his team members. Candidate should have a general understanding of Fixed Income, Futures and FX products including FX Swaps.

Duties & Responsibilities:

• Trade reporting oversight for Fixed Income and FX, including data analysis and regulatory monitoring
• Aid in the reconciliation of firm activity and trade reported data across FICC
• Utilize exception reports to investigate trade activity
• Conduct electronic communication reviews routinely
• Assist in core compliance related tasks
• Interact with the business by providing sound compliance advice and educate on policies and procedures
• Work closely with our FICC Operations team to identify trade issues and document reviews
• Quickly learn new information, including regulatory rules, Firm procedures, systems, and applications

Requirements & Qualifications:

• At least 2-3 years of related experience
• Series 7, 24 preferred but not required. Must be willing to obtain licenses if unregistered within 6 months of employment date.
• Proficient in MS Office products including Outlook, Excel, Word and Powerpoint. Global Relay, Schwab Compliance Technologies and Bloomberg proficiencies are a plus.
• Ability to multi-task and prioritize in real-time
• Well organized with strong analytical skills
• Ability to work well individually and in a team setting
• Dedicated work ethic
• Undergraduate Degree required, additional higher education and specialty designations a plus.

Important Notes:

• Must be authorized to work full time in the U.S., BTIG does not offer sponsorship for work visas of any type
• No phone calls please, the applicant will be contacted within two weeks if successful

About BTIG:

BTIG is a global financial services firm specializing in institutional trading, investment banking, research and related brokerage services. With an extensive global footprint and more than 700 employees, BTIG, LLC and its affiliates operate out of 19 cities throughout the U.S., and in Europe, Asia and Australia. BTIG offers execution, expertise and insights for equities, equity derivatives, ETFs and fixed income, currency and commodities (futures, commodities, foreign exchange, interest rates, credit, and convertible and preferred securities). The firm’s core capabilities include global execution, portfolio, electronic and outsource trading, transition management, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more. https://www.btig.com/Disclosures.aspx
 
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status. BTIG is an equal opportunity employer Minorities/Females/People with Disabilities/Protected Veterans/Sexual Orientation/Gender Identity.
 
Disclaimer: https://www.btig.com/disclaimer.aspx