Fixed Income Compliance Associate

  • Negotiable
  • Cos Cob, CT, USA
  • Permanent, Full time
  • Robert Walters Associates Inc
  • 12 Oct 18

A prestigious financial services institution seeks a fixed income compliance associate to advise an active trading desk.

The ideal candidate for this role will come from a compliance advisory background, and will have specific knowledge in rates, swaps, and derivatives, among other specific fixed income products.


  • Implement and maintain policies & procedures, relative to newly created trading product strategies and rules & regulations;
  • Advise trading desks in a real-time capacity from a compliance perspective;
  • Oversee postion limits and reporting rules, and ensure adherence to rules & regulations;
  • Proficiency in regulatory inquiry responses from different regulatory authorities;
  • Take part in making proper revisions to trade surveillance and control protocols to ensure validity.

Please feel free to apply today, or call me, Bob Moseman, at (212) 704-9900 for a confidential conversation.