Fixed Income Compliance Officer

Jefferies; New York (NY); On-site; USD 120,000 - 140,000; Full time

Job summary

Jefferies in New York, NY is seeking a detail-oriented compliance professional to join the Fixed Income Compliance Advisory team. The role focuses on reporting, metrics, dashboards, monitoring, data analysis, and process improvements to strengthen regulatory compliance across Fixed Income activities.

You will collaborate with Compliance, Technology, Operations, Risk, and other control partners, develop recurring reports, and support governance forums, audits, and regulatory inquiries.

Qualifications

• Minimum 5+ years of experience in compliance, regulatory, or related financial services.
• Exposure to fixed income products and broker-dealer activities preferred.
• Working knowledge of U.S. securities regulations including FINRA and SEC rules.
• Proficiency in Microsoft Excel, Word, and PowerPoint; Bloomberg experience preferred.

Responsibilities

• Assist with compliance reporting, metrics, dashboards, and monitoring.
• Develop and maintain recurring reports and management information.
• Analyze data related to U.S. rates, credit products, and fixed income obligations.
• Identify trends and issues from trade, surveillance, and controls.
• Collaborate with Compliance, Technology, Operations, Risk and other control partners.
• Prepare materials for internal meetings, regulatory inquiries, audits, and updates.
• Support monitoring, testing, data gathering, and issue tracking.
• Maintain trackers for regulatory obligations and remediation items.
• Develop desk guidance, training materials, and compliance documentation.
• Participate in projects focused on automation and reporting enhancements.

Skills

Analytical skills

Data analysis

Communication

Organizational skills

Collaboration

Excel

PowerPoint

Tools

Bloomberg

Job description

This position is well-suited for a candidate with strong analytical and technical skills who is interested in developing fixed income compliance expertise. The successful candidate will assist with compliance reporting, metrics, dashboards, monitoring, data analysis, and process improvements, while supporting the broader team on regulatory and advisory matters.

Key Responsibilities

• Support the Fixed Income Compliance Advisory team through data analysis, reporting, and preparation of compliance metrics related to Fixed Income Sales & Trading activity.
• Develop, maintain, and enhance recurring reports, dashboards, trackers, and management information used to monitor compliance risks, regulatory obligations, and control processes.
• Assist with compiling and analyzing data related to U.S. Rates, Credit products, primary dealer activities, Treasury auctions, certifications, disclosures, and other fixed income regulatory requirements.
• Help identify trends, exceptions, and potential issues through review of trade, surveillance, monitoring, and control data.
• Partner with Compliance, Technology, Operations, Risk, and other control functions to improve reporting processes, data quality, workflow efficiency, and control documentation.
• Support the preparation of materials for internal meetings, governance forums, regulatory inquiries, audits, and management updates.
• Assist with compliance monitoring and testing activities, including data gathering, sample selection, documentation, and issue tracking.
• Maintain internal trackers for regulatory obligations, remediation items, compliance reviews, policies, procedures, and training initiatives.
• Support the development and maintenance of desk guidance, procedures, training materials, and other compliance documentation.
• Participate in special projects focused on automation, reporting enhancements, dashboard creation, process improvement, and cross-product Fixed Income compliance support.

Qualifications

• 5+ years of compliance, legal, regulatory, audit, risk, or related financial services experience.
• Exposure to fixed income products, sales and trading, or broker-dealer activities preferred.
• Working knowledge of U.S. securities and broker-dealer regulations, including FINRA and SEC rules; familiarity with CFTC, Federal Reserve, Treasury, or other fixed income-related requirements a plus.
• Strong analytical, communication, and organizational skills, with sound judgment and attention to detail.
• Ability to work collaboratively with business, Compliance, Legal, Operations, Technology, and other control partners.
• Proficiency in Microsoft Excel, Word, and PowerPoint; Bloomberg experience preferred.

Primary Location: New York, NY Full Time Salary Range of $120,000-$140,000.