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A leading broker dealer is actively seeking a Fixed Income Compliance Manager for a hands-on role overseeing compliance across fixed income products including Bonds, Treasury, FX, and Derivatives. The position requires extensive compliance experience, strong product knowledge, and the ability to manage direct reports in a collaborative environment. Ideal candidates will help the firm meet regulatory obligations while enhancing compliance procedures.
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A leading broker dealer is seeking a “Hands-on” Fixed Income Compliance Manager to run compliance for all LOB’s within Fixed Income business. This includes: Bonds, Treasury, Securitized Products, FX, Derivatives, EM. You’ll have two direct reports, reporting to the Global Head of Compliance. Will be fully hands-on with every aspect of daily compliance duties while leading a team of 1-2 people. Seeking someone with strong Fixed Income product knowledge and strong front office Advisory experience working directly with traders and front office staff. Also seeking strong Reg ATS, 15a-6, Trace Reporting, MSRB Reporting. This is a backfill for person who just handed in 2 week notice, need someone in seat asap. If right fit, will convert to FTE. Hybrid schedule, 3 days onsite in downtown NYC office.
Must have:
Group Overview
We are a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior liquidity and data solutions. We are one of the largest interdealer brokers in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform
Responsibilities
Fixed Income Compliance Manager to lead a team while providing regulatory/compliance advice and support to the Firm’s fixed income trading and operational functions to enable the business to operate in accordance with all applicable regulatory requirements.
The candidate must have strong writing skills as they will be expected to draft, enhance and/or implement compliance manuals, written supervisory procedures, screen protocols, trading rules and Form ATS exhibits. The candidate may also conduct surveillance reviews of fixed income transactions, will help create and implement new surveillance tools and, as needed, will also assist with regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC) that provide oversight of the firm. Additional duties may include managing Compliance IT projects, handling special projects, and training other staff.
Business stakeholders (Business Managers, Heads of Desks and Brokers); Legal; Risk; HR; IT; Finance; Operations and the wider Compliance function.
Core Responsibilities
Requirements;
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