Fixed Income Specialist - Taxable Products

    • Job Tracking ID: 85444-308095
    • Job Location: Denver, CO
    • Job Level: Any
    • Level of Education: BA/BS
    • Job Type: Full-Time/Regular
    • Date Updated: 08/05/2020
    • Years of Experience: Not Applicable
    • Starting Date: ASAP
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Job Description

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.
Under the direct supervision of the Fixed Income Capital Markets (FICM) Chief Operating Officer, the Specialists work closely together with respect to the fixed income sales and trading business of the firm to develop and implement a centralized program to ensure compliance with the Firm’s policies and procedures. The Specialists work closely together and with compliance, legal and FICM senior management to formulate and implement policies and procedures and to lead all aspects of relevant systems. This position also supports the managers of the taxable trading desks.

Experience and Skills

Qualifications/Requirements:

  • Bachelor’s degree; or relevant securities industry experience.
  • Applicable industry exams: Series 7, and Series 24; the Series 53 will also be required for instances of delegation of certain FICM reviews.
  • Experience and knowledge of securities industry including products, systems and regulations.
  • Previous supervision, compliance and/or regulatory management experience strongly preferred.
  • Strong interpersonal skills. Ability to work with senior managers, compliance and legal personnel to resolve issues.
  • Strong organizational skills and attention-to-detail. Ability to work with a high-degree of accuracy while balancing multiple tasks.
  • Proficient with Microsoft Word, Excel and Outlook. Experience with Bloomberg desired. Able to learn and utilize new systems as needed.
  • Experience with technical supervisory systems for email surveillance and trade review.
  • Excellent oral and written communication, including proven facilitation and presentation skills.
  • Sound judgment, advances issues as appropriate, and able to maintain a high level of confidentiality. Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives.


Duties:

  • Assist with the development of trade reporting and sales surveillance programs, including: creation, implementation and communication of Written Supervisory Procedures ("WSPs").
  • Participate in the review and addressing of items reported by compliance or internal audit as part of branch office examination summaries, internal audit reports or regulatory inquiries and examinations as they relate to the FICM trade reporting functions.
  • Develop training for FICM staff regarding their sales and trading responsibilities and areas of impact resulting from Firm business or regulatory changes. Develop presentations and participate in the annual FICM Sales and Trading retreat, and other business meetings, as requested.
  • Identify compliance, supervisory and other issues that may need further attention. Work with trading managers and compliance to respond to and resolve any issues in a timely manner.
  • Assist, as needed, with principal review/approval of the trading activity of the manager(s) of the trading desks.
  • Serve as securities principal and perform certain functions as delegated by designated FICM supervisors.
  • Stay current on industry and regulatory updates and trends and lead and participate in special projects and initiatives, as needed.
  • Other duties as assigned!

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.