VP, Fixed Income Compliance Officer

Jefferies; New York (NY); On-site; USD 150,000 - 200,000; Full time

Job summary

A leading financial services firm is seeking a Fixed Income Compliance Officer based in New York. The role involves providing compliance advice, monitoring regulatory risks, and ensuring adherence to evolving regulations in the fixed income market. Ideal candidates will have a strong background in compliance and fixed income products, with 5-7 years of relevant experience.

Qualifications

• 5-7 years of compliance experience, preferably in a trading advisory capacity.
• Knowledge of fixed income products and markets; Swaps a plus.

Responsibilities

• Providing regulatory and compliance advice for U.S. Rates activities.
• Monitoring business activities and escalating issues to manage risks.
• Designing training material regarding regulatory changes.

Skills

Compliance experience

Knowledge of fixed income products

Understanding of cross-border issues

Working knowledge of Bloomberg

Knowledge of FINRA and SEC regulations

Fluency in Excel

Fluency in Word

Fluency in PowerPoint

Education

Bachelor’s degree

Job description

Job Title: Fixed Income Compliance Officer

Level: Vice 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 Groupwith primary coverage of U.S. Rates.

Responsibilities:

This position is based in New York City in the Fixed Income Compliance Advisory Group and will be primarily responsible for the following:

• Providing regulatory and compliance advice to business partners about complex sales and trading issues, with a focus on U.S. Rates activities, including Primary Dealer / Treasuries, Repo, GSE/Agencies, and fixed income futures.
• Serve as a subject matter expert on products, regulatory reporting, and broker-dealer operations by maintaining proficient knowledge of applicable functions.
• Working with business partners (i.e., Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports, and processes to monitor business activities.
• Recognizes and addresses regulatory risks by evaluating current procedures, conducting gap analyses, and ensuring compliance with up-to-date regulatory requirements.
• Monitoring the business’ activities and timely escalating any issues that put the firm at risk.
• 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.
• Lead and participate on special projects.

Required Background/ Desired Experience & Skills:

• Bachelor’s degree
• 5-7 yearsofcompliance experience, preferably in a trading advisory capacity
• Knowledge of the fixed income products and markets. Swaps a plus.
• 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 $150,000 - $200,000