Capital Markets and Operations Compliance is responsible for providing regulatory and compliance guidance to the business areas of the firm regarding trading and operational functions. This department seeks a qualified individual to serve as a Senior HQ Compliance Advisor, located in the St. Louis office, to provide compliance support for the firm's Fixed Income Trading and Operations areas.

Primary Responsibilities:Provide wide-ranging compliance advice and guidance to the firm's Fixed Income Trading and Operations areas to maintain and continually evolve the compliance programInterpret laws, rules and regulations affecting the operation of the organization and develop specialized depth and breadth of expertise involving trading and operational issuesInvestigate and resolve compliance issues and respond to questions from internal stakeholders throughout the organizationInfluence and guide compliance, regulatory, and business initiatives by recommending innovative solutions and best practices that benefit clients, branch teams and the firmCoordinate and conduct assessments of internal policies, procedures and controlsOversight the operation of various departments to ensure compliance with relevant regulatory requirements, including laws, rules and regulations, as well as the design, implementation and operation of the overall compliance programProvide significant support to projects and initiativesCandidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.