Fixed Income Operations Advisor
Core
Acquire and track documentation for account opening, review documentation for regulatory compliance, and support Fixed Income Capital Markets operations.
Role type
Fixed Income Operations Advisor
Builds
Account opening documentation and regulatory compliance workflows
Domain
Fixed Income Capital Markets / Securities Industry
Deliverable
client delivery
Required skills
Regulatory compliance knowledge, investment concepts, banking operations, process implementation, analytical thinking, stakeholder relationship building
Preferred skills
Paralegal certification, Series 24 license, Series 7/63 license
Technologies
Standard office equipment, required software applications
Responsibilities
Acquire and track account opening documentation, review documentation for regulatory requirements, assist in special projects, resolve questions and problems, coordinate special analyses and reports, perform periodic reporting
Seniority
Mid-level, hands-on IC
