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Years of Experience
Date Last Verified
Senior Municipal Finance Compliance Officer Responsibilities : Will provide advice to the municipal bankers and underwriters on topics such as the municipal advisor rules, due diligence requirements, RFPs, supervision. Participate on capital commitment and other committees. Educate the firm on regulatory developments and new rules relating to municipal securities. Review current business practices against regulatory and firm requirements to ensure that discrepancies are proactively identified and addressed. Draft and update policies and procedures relating to municipal underwriting business. Assist in responding to regulatory exams and inquiries.
Qualification and Experience
Requirements : Must have at least 15 years of experience with municipal finance. At least a bachelor's degree required. JD a plus. Working knowledge of Word and Excel. Series 7, 63/66, 53 a plus. Able to make time sensitive decisions regarding municipal underwriting questions. Capable of completing tasks with very tight deadlines, while also delivering on long term projects. Willing to present regulatory developments to senior management and internal stakeholders. Extremely organized.
Job Reference # - 165198BR
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