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AVP, Fixed Income Compliance Officer
senior · Risk & Compliance
AVP, Fixed Income Compliance Officer
Location: New York, NY
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
- Bachelor’s degree required.
- 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.
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