| Location: |
MD-Baltimore
Mid-Atlantic (DE, DC, MD, NJ, NY, PA, VA & WV) |
| Salary Range: |
250K ++ |
| Bonus & Incentives: |
|
| Position Responsibilities: |
Individual to manage their Institutional Securities/Non Retail Broker Dealer Compliance function. Will provide compliance support for sophisticated products to include corporate, municipal, US treasuries and other debt securities, also private placements, derivatives, options , FX and REITS. Will be responsible for policies and procedures for Institutional trading. Will handle regulator examinations and respond to general trader inquiries. Must have trading desk experience, a strong understanding of MSRB rules and how they work. Seek strong understanding of Municipal and Fixed income products and legislation. |
| Education and Certifications/Licenses: |
Bachelors, Must have Series 7, 24 and 53 licenses |
| Mandatory Minimum Qualifications: |
Seeking a strong understanding of Municipal and Fixed income products and legislation. |
| Preferred Qualifications: |
series 53 |
| Additional Comments: |
|
| Benefits: |
|
| Overnight Travel: |
No Required Travel |
| Relocation Assistance: |
Yes |
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