Summary

We are seeking a highly motivated Structured Notes Compliance Professional to join our growing Compliance team. This is a newly created role offering the unique opportunity to own and shape the Structured Notes Compliance vertical from the ground up. This individual will be responsible for overseeing day-to-day compliance matters related to the structured notes business, ensuring alignment with applicable regulatory requirements, internal policies, and best practice standards.

Responsibilities

1. Serves as the primary compliance point of contact for the structured notes trading desk –Provide real-time regulatory and compliance advice to trading desk personnel
2. Oversee the implementation and management of structured notes policies and procedures
3. Coordinate with the trading desk to identify, and resolve potential risk control gaps and deficiencies
4. Conduct testing and surveillance of business activities to ensure ongoing compliance with policies, procedures, and applicable regulation.
5. Review and approve marketing and communication materials related to the structured notes business.
6. Provide training and guidance to trading personnel, including ad hoc or specialized compliance training sessions.
7. Monitor TRACE reporting; Oversee responses to regulatory inquiries.
8. Support broader Compliance initiatives and collaborate cross-functionally with trade support, legal, and other internal teams.
9. Stay abreast of regulatory developments impacting structured notes and capital markets activities.

Qualifications

1. Bachelor’s degree in Finance, Business, Law, or related field.
2. Series 7, 63, and 24 licenses are required.
3. 3–7 years of experience in Compliance, Trade Support, or within a Capital Markets environment, preferably with direct exposure to structured notes, fixed income products, and trading.
4. Strong understanding of SEC and FINRA rules and regulations,
5. Exceptional analytical, communication, presentation and interpersonal skills.
6. Highly organized, able to thrive in a fast-paced and demanding environment, managing multiple priorities with a proactive approach.
7. Comfortable working independently while also contributing to a team-oriented environment.

Skills

• Analytical Thinking
• Communications Skills
• Legal Consulting
• Team Collaboration