Fixed Income Compliance Officer
$120k - $140kFull-time
Jefferies
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.
Vacancy posted 2 hours ago
Similar jobs that could be interesting for youBased on the Fixed Income Compliance Officer in New York, NY vacancy
- We are seeking someone to join Global Compliance as a Vice President who will provide advisory... ...and jurisdictions of operation. Fixed Income ComplianceThe Fixed Income Division ("FID... ...and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley,...SuggestedTemporary work
Morgan Stanley
New York, NY3 days ago - 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...Suggested
- ...Director to serve as the primary Non-Financial Risk Coverage Officer for the Capital Markets businesses. The role will provide independent... ...risk advisory support to senior business leaders across Fixed Income and Equities while promoting a strong risk culture and ensuring...SuggestedFull time
Atlas Search
New York, NY2 days ago $188.18k - $291.7k
...World Markets Corp. seeks an Executive Director, Commodities and Fixed Income Risk Manager to analyze market risk for US commodity, bonds,... ...and other skills tests (such as simulation, coding, MS Office). Our goal for the application process is to get to know more...SuggestedFull timePart timeRemote workCIBC Bank
New York, NY4 days ago$110k - $125k
...corporations, governments, and individuals from more than 1,200 offices in 43 countries.As a market leader, the talent and passion of... ...is an important part of our culture.Department Profile The Fixed Income Division is comprised of Interest Rate and Currency Products,...SuggestedTemporary workWorldwideMorgan Stanley
New York, NY3 days ago- ...Jefferies Wealth Fixed Income Execution Desk Middle Office/Trading Assistant/Business Analyst Jefferies Financial Group Inc. (‘‘Jefferies,’’ ‘‘we,’’ ‘‘us’’ or ‘‘our’’) is a U.S.-headquartered global full service, integrated investment banking and securities firm...Full timePart timeWork at officeLocal area
Jefferies
New York, NY4 days ago $160k - $235k
...Director – Spread Products Market Risk, Securitized Credit & Fixed Income Office Status: Hybrid – New York, NY Base Salary: $160k – $235... ...and maintain the limits framework; manage desks' daily compliance with limits; make decisions on trade reviews, risk assessments...Full timeWork at officeMadison-Davis, LLC
New York, NY3 days ago- ...institutional clients around the world, recognized for its strengths in fixed income and equity capital markets, investment banking, SPAC... ...trading desks in every major financial center globally, with offices in over 30 locations around the world. As one of the few...Full timeTemporary work
Cantor Fitzgerald
New York, NY1 day ago $225k - $300k
...corporations, governments, and individuals from more than 1,200 offices in 43 countries.As a market leader, the talent and passion of... ...) Accounting Specialist is a senior technical role within the Fixed Income Division (FID), embedded in the Global Asset & Liability...Temporary workWork at officeWorldwideMorgan Stanley
New York, NY4 days ago$180k - $190k
...Risk team safeguards the quality and performance of the firm's fixed income strategies by providing quantitative insights, independent... ...assessment, or selection of applicants for this position.Job SummaryJob number: 869968Profession: Legal, Compliance, and Risk, Data GovernanceLocal areaFranklin Templeton
New York, NY23 hours ago- ...Fixed Income Operations Associate Our client is looking to add a Fixed Income Operations professional to a growing team supporting an active institutional trading business. This position offers broad exposure to the post-trade environment and significant interaction...Full time
Dynamics Executive Search
New York, NY3 days ago $176.72k - $265.08k
...maker and a global leader in all major Fixed Income markets. The Fixed Income Trade Processing... ...for 2,000+ Trading, Sales, and Middle Office users globally - handling approximately... ..., its clients and assets, by driving compliance with applicable laws, rules and regulations...Full timeWork at officeCitigroup
New York, NY3 days ago$110k - $125k
...pressurePositive, can do, extrovert personalityExperience with fixed income, derivatives, bond mathematics, JavaScript, kdb+/q, machine... ...clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity...Temporary workImmediate startMorgan Stanley
New York, NY2 days ago$110k - $125k
...corporations, governments and individuals from more than 1,200 offices in 43 countries.As a market leader, the talent and passion of... ...perspectives and needs is an important part of our culture.The Fixed Income Division is comprised of Interest Rate and Currency Products,...Temporary workWorldwideMorgan Stanley
New York, NY3 days ago- ...schedules and business needs as required.Support the Head of Fixed Income in achieving departmental goals and objectives.Key Responsibilities... ...analysis, fixed income, and fund investing.Proficiency in MS Office, advanced Excel, Bloomberg, and automated research tools....Flexible hours
Green Key Resources
New York, NY23 hours ago - As part of TWG AI, the Executive Director will oversee high-impact AI and data science initiatives in fixed income and investment banking. This role involves leading enterprise-critical projects, mentoring a small team of data scientists, and ensuring alignment with commercial...Relocation package
$150k - $200k
...corporations, governments, and individuals from more than 1,200 offices in 43 countries.As a market leader, the talent and passion of... ...is an important part of our culture.Department Profile The Fixed Income Division is comprised of Interest Rate and Currency Products,...Temporary workWorldwideMorgan Stanley
New York, NY4 days ago$90k - $180k
...Control this role is the full scope product controller for the U.S. Fixed Income businesses, which includes Primary Dealer, US Money Markets,... ...daily and bring to the attention of managementOversee Front-Office to Back-Office reconciliationsGain a working knowledge of the...Full timeContract workPart timeWork at officeLocal areaBMO Bank
New York, NY4 days ago$225k - $250k
...corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of... ...and needs is an important part of our culture.The Fixed Income Division is comprised of Interest Rate and Currency Products,...Temporary workWorldwideMorgan Stanley
New York, NY2 days ago$112.1k - $186.9k
Role ProfileThe Fixed Income Quantitative Specialist of Fixed Income, Currencies and Commodities (FICC), Quantitative Product Research reports directly to the Head of FICC Quantitative Research within the FTSE Russell organization at LSEG.The successful candidate will...Full timePart timeInternshipLondon Stock Exchange Group
New York, NY23 hours ago- Cantor Fitzgerald is seeking a Director, Market Risk Manager for its New York office. The ideal candidate will have over 10 years of experience in market risk management, specializing in fixed income. Responsibilities include monitoring risk exposures and developing...Work at office
$110k - $125k
...corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of... ...or a wealthy family, Morgan Stanley is the place to be.The Fixed Income Division is comprised of Interest Rate and Currency Products,...Temporary workWorldwideMorgan Stanley
New York, NY3 days ago$225k - $250k
...corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of... ..., perspectives and needs is an important part of our culture. Fixed Income: ABS Structuring - Vice President / Executive Director The...Temporary workWorldwide- ...Quantitative Analyst to support investment and trading strategies. You will develop and backtest complex models in Python, analyze large fixed income datasets, and collaborate with traders and technology teams to productionize research. This full-time role offers exposure to...Full time
- Job description Job Role :- Business Analyst (Fixed Income) Job Location :- Edison, NJ Job Responsibilities :- Lead and facilitate workshops and interviews with Fixed Income traders risk managers structurers and operations personnel to understand...
- ..., 2026. With 1,366 investment professionals worldwide, and 59 offices in 26 countries, MSIM is able to provide in-depth local knowledge... ..., and individuals worldwide. The High Yield team within Fixed Income is intended for talented individuals pursuing an undergraduate...Summer workInternshipLocal areaImmediate startWorldwide
Morgan Stanley
New York, NY3 days ago $110k - $125k
...the financial industry's dominant thought leaders in equity and fixed-income investing and is a vital link between the Firm's varied... ...clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity...Temporary workMorgan Stanley
New York, NY3 days ago- Mission Staffing in New York is seeking a skilled Middle Office professional to manage bank debt workflows, settlements, and complex... ...actions, and oversee cash and position reconciliation across fixed income and equity products; collaborate with investment teams and external...Work at office
- ...portfolio analytics, and trading teams to move to an insight-driven framework that supports decision-making. A strong foundation in fixed-income analytics is essential; familiarity with CLO structures and risk dynamics is a plus. #J-18808-Ljbffr Octagon Credit Investors
- ...an established financial services firm, is seeking a senior Fixed Income Operations leader to oversee a key post-trade operations function... ..., and broader business initiatives • Partner with Risk, Compliance, Technology, Finance, and senior management on key...Full time
Dynamics Executive Search
New York, NY3 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Fixed Income Compliance Officer. Be the first to apply!
Related searches
- pharmaceutical compliance officer New York, NY
- regulatory officer New York, NY
- risk compliance officer New York, NY
- regulatory affairs specialist New York, NY
- aml compliance analyst New York, NY
- medicare compliance specialist New York, NY
- regulatory operations specialist New York, NY
- compliance analyst New York, NY
- information security compliance analyst New York, NY
- senior compliance analyst New York, NY