FICC Compliance, Vice President

Job Purpose:
BTIG seeks a Compliance professional in the New York office, who will handle multiple tasks concentrated within BTIG’s FICC Compliance group with a primary focus on the firm’s institutional Fixed Income business. 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.  Candidates should have a broad understanding of Fixed Income (Securitized Products, Corporates, Convertibles, Preferreds and Treasuries.  A general background in Futures and FX products would be 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
• Quickly learn new information, including regulatory rules, Firm procedures, systems, and related processes

Requirements & Qualifications:

• 5+ years of Compliance and Fixed Income  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, MyComplianceOffice 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 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 $150,000.00 - $200,000.00 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.