Fixed Income Compliance Officer

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

Job summary

Jefferies is seeking a qualified professional for a Fixed Income Compliance Advisory role in New York, focusing on data analysis, reporting, and compliance metrics for Fixed Income Sales & Trading. The role supports cross-functional teams and regulatory obligations with a strong emphasis on accuracy and process improvement.

You will develop dashboards, maintain trackers, and contribute to governance, audits, and regulatory inquiries, collaborating with Compliance, Technology, and Risk.

Qualifications

• 5+ years of compliance/regulated financial services experience.
• Exposure to fixed income products and broker-dealer activities preferred.
• Strong knowledge of U.S. securities regulations (FINRA/SEC) is advantageous.

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 and maintain recurring reports, dashboards, trackers, and information to monitor compliance risks and controls.
• Assist with compiling data for U.S. Rates, Credit products, primary dealer activities, Treasury auctions, and other fixed income requirements.
• Identify trends and issues through review of trade, surveillance, monitoring, and control data.
• Collaborate with Compliance, Technology, Operations, Risk and others to improve reporting processes and data quality.
• Prepare materials for internal meetings, regulatory inquiries, audits and updates.
• Assist with monitoring and testing activities, data gathering, sampling, documentation and issue tracking.
• Maintain trackers for regulatory obligations, remediation items, reviews, policies and training.
• Support development of desk guidance, procedures and training materials.
• Participate in special projects on automation, reporting enhancements and dashboards.

Skills

Analytical skills

Data analysis

Reporting

Dashboards

Attention to detail

Communication

Team collaboration

Fixed Income compliance knowledge

Tools

Microsoft Excel

Microsoft Word

PowerPoint

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.