Career Opportunities




Fixed Income Compliance Examiner

Date of Posting

June 10, 2014


Denver - Fixed Income Capital Markets, CO

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Job Summary:

This position is expected to be located in Denver, however, depending on other factors may be located in another office. Perform various compliance and audit functions to ensure compliance with various rules and regulations of regulatory agencies, exchanges, and states and Firm policies and procedures.


(Including specific Education and License requirements)

  • Seasoned knowledge of the securities industry with an emphasis on Fixed Income Sales and Trading (Municipal and Taxable), company policies and procedures and back office operations

  • Proficient knowledge of FINRA, SEC, MSRB and state jurisdiction rules and regulations related to securities compliance

  • FINRA General Securities Representative Exam (Series 7), General Securities Principal Exam (Series 24), Municipal Securities Principal Exam ( Series 53) and Uniform Securities Agent State Law Exam (Series 63), or ability and willingness to obtain licenses within 90 days of accepting the position

  • Strong written, oral and human relations skills
  • The position deals with senior management, industry examiners, outside auditors, customers, law firms, financial institutions and FCs
  • Ability and willingness to travel

  • Strong organizational, analytical and investigative and auditing skills

  • Ability to work in a computerized environment
  • Proficient with Microsoft Outlook, Bloomberg Trading System, Beta back office system, Word and Excel
  • Ability to multi-task, prioritize projects and work with minimal supervision

  • Project a professional and personable manner at all times


  • Analyze and review daily, monthly and quarterly exception reports to identify possible violations of industry rules and regulations and firm policies and procedures. Notify appropriate personnel of any violations. Assist management in implementing corrective action and follow up until resolved.

  • Assist with the preparation and filing of MSRB Form G-37/G38t with the SEC on a quarterly basis. Notify the state of Nebraska of any political contributions that need to be filed under state law.

  • Participate in various audit or other compliance activities to convey or ascertain the Firm’s compliance with industry regulations.

  • Investigate, review and follow-up on customer complaints, arbitrations, regulatory investigations and inquiries. Work with the Compliance Department and/or the Registration Department personnel to file any necessary FINRA 3070 filings or Form U-4 amendments for customer complaints and disclosures.

  • Participate in the development of and assist in conducting the annual compliance meeting with all registered individuals in order to fulfill regulatory requirements and maintain a well-informed and educated staff.

  • Assist in the update and distribution of all the Firm’s disclosure and audit forms each year (e.g. Annual Certification, Outside Business Activity etc.)

  • Participate in the development and implementation of the firm element continuing education program for the Fixed Income Capital Markets group.

  • Participate in reviewing and determining the impact and requirements of new and/or amended security industry laws and regulations and recommend policy and procedural changes to comply with same.

  • Assist with the review and approval process of advertising and sales literature to ensure compliance with industry rules and regulations.

  • Assist in the development and coordination of the Firms’ branch office audit program. Schedule and conduct audits to ensure compliance with applicable securities industry regulations and the Firm’s policies and procedures. Prepare written reports to senior management documenting all areas of non-compliance and develop a corrective action plan to ensure compliance.

  • Review and file monthly outside brokerage statements. Track and log the receipt of the statements on an Excel spreadsheet.

  • Review compliance newsletters and checklists.

  • Solicit and file TFFOC (Tax Free Fund of Colorado) compliance reports.

  • Assist with the review and update WSP, Code of Ethics and ADV Part II when necessary.