FICC Compliance, Analyst/Associate

Job Purpose:

BTIG is seeking a well-rounded, entry-level professional to join BTIG’s FICC Compliance group.  The role will focus primarily on BTIG’s Institutional Fixed Income business and related surveillance duties. Title and responsibilities will depend on the candidate’s background, work history and Compliance experience. 

This individual must be highly organized, production-oriented and detail-driven, and will possess characteristics such as personability, enthusiasm, and self-motivation.  The candidate will be able to work in a fast-paced environment and will collaborate well with her/his team members.  Candidate should have a general understanding of Fixed Income instruments and trading behaviors associated with Securitized Products, Corporates, Convertibles, Preferreds and Treasuries.  Additional background and/or experience in Futures and FX products is a plus.

Duties & Responsibilities:

• Trade reporting oversight for Fixed Income including data analysis and regulatory monitoring
• Aid in the reconciliation of firm activity and daily TRACE reporting data.
• 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 training on policies and procedures
• Work closely with our FICC Operations team to identify trade issues and document reviews

Requirements & Qualifications:

    •   Bachelor’s degree required, minimum 3.5 GPA
    •   Additional higher education and specialty designations a plus
    •   Fixed Income Compliance experience/work history a plus 
    •   Successful candidate will have obtained the SIE prior to employment and must be willing to sit for the Series 7 and 24 within 6 months of employment date
    •   Proficient in MS Office products including Outlook, Excel, Word, and PowerPoint. 
    •   Proficiencies in Global Relay, MyComplianceOffice and Bloomberg TOMS are a plus
    •   Ability to multi-task and prioritize in real-time
    •   Strong analytical skills and intellectual curiosity 
    •   Ability to work well individually and in a team setting
    •   Dedicated work ethic/self-starter

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 20 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. The firm’s core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.
 
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.

Compensation: 

• BTIG offers a competitive compensation and benefits package. Salary range is based on a variety of factors including, but not limited to, location, years of applicable experience, skills, qualifications, licensure and certifications, and other business and organization needs.
• The current estimated base salary range for this role is $75,000.00 - $100,000.00 per year. Please note that certain positions are eligible for additional forms of compensation such as discretionary bonus or overtime. 

Disclaimer: https://www.btig.com/disclaimer.aspx.