SVP, Fixed Income Compliance Advisory - E-Trading

Jefferies; New York (NY); On-site; USD 200,000 - 275,000; Full time

Job summary

A leading financial services firm is seeking a Senior Vice President for Fixed Income Compliance Advisory. This role involves providing compliance advisory support for E-Trading and Credit products, ensuring adherence to complex regulations while collaborating with business partners to enhance monitoring systems. Ideal candidates should have extensive compliance experience, with a strong understanding of regulatory frameworks and trading dynamics, particularly in electronic markets.

Qualifications

• 10-12 years of compliance experience, preferably in trading advisory.
• Bachelor’s degree required.
• Ability to work in a fast-paced environment and manage regulatory risks.

Responsibilities

• Provide regulatory and compliance advice on complex sales and trading issues.
• Develop systems and tools for monitoring trading activity.
• Design training material regarding new regulatory rules.

Skills

Regulatory compliance

Risk identification

E-Trading knowledge

Cross-border issues understanding

Regulatory authority engagement

Policy and procedures development

Communication

Presentation skills

Education

Bachelor’s degree

Tools

Bloomberg

Excel

Word

PowerPoint

Job description

SVP, Fixed Income Compliance Advisory

Level: SeniorVice President

Reporting to: US Head of Fixed Income Compliance

Job Description :

The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with E-Trading and Credit products.

Responsibilities:

The desired candidate has senior level experience providing compliance advisory support for Sales and Trading across all Fixed Income products with a special focus on Electronic Trading:

• Providing regulatory and compliance advice to business partners about complex sales and trading issues, with a focus on Credit E-Trading, Investment Grade, High Yield and Emerging Markets
• Deep knowledge of the fixed income market structure, along with insights into how evolving dynamics have influenced business operations and heightened regulatory oversight.
• Familiarity with various E-Trading platforms and contribution to the development of systems and tools for monitoring activity (e.g., Bloomberg, MarketAxess, Tradeweb, Tumid, etc.).
• Working with business partners (i.e., Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports, and processes to monitor business activities.
• Recognizes the growing shift of fixed income trading towards electronic markets and the associated risks involved in this transition.
• Design and present training material regarding new rules, rule changes, regulatory initiatives, and firm policies.
• Creating and updating policies and procedures to keep pace with new regulations and rule changes.
• Actively participate on internal governance committees and industry working groups.
• Responding to examination requests, regulatory inquiries, and audit requests, in addition to developing remediation plans for any identified exceptions.
• Lead and participate on special projects.

Required Background/ Desired Experience & Skills:

• Bachelor’s degree
• 10-12 yearsofcompliance experience, preferably in a trading advisory capacity
• Ability to work in a fast-paced dynamic environment
• Ability to identify regulatory risks and escalate to managers
• Experience engaging with regulatory authorities
• Understanding of cross-border issues
• Working knowledge of Bloomberg
• Knowledge of FINRA, SEC, and other regulatory rules and regulations
• Fluent in Excel, Word, and PowerPoint

Primary Location Full Time Salary Range of $200,000 - $275,000