Fixed Income Compliance Officer

Overview:

Fixed Income Compliance Officer

New York, NY - Hybrid - 3 Days Onsite and 2 Days Offsite

About The Role:

We're looking for a Fixed Income Compliance Officer to join our Americas Compliance team in New York. In this hybrid role, you'll provide regulatory guidance and compliance support across the Firm's fixed income trading and operational activities, helping ensure adherence to all relevant regulatory requirements. Reporting to the Head of Fixed Income Compliance, you'll play a key role in enabling the business to operate confidently and compliantly in a fast-paced trading environment.

What You'll Do:

• Ensure the Firm complies with key regulatory requirements related to fixed income trading, including electronic, algorithmic, hybrid, and voice trading.
• Serve as a primary compliance resource by responding to inquiries from fixed income business units and ensuring alignment with applicable laws, regulations, and internal policies.
• Provide clear, accurate, and timely regulatory guidance to business and operational teams, addressing escalations as needed.
• Review and advise on new business initiatives, assessing regulatory implications and providing strategic compliance input.
• Manage and coordinate responses to regulatory examinations, investigations, and inquiries affecting fixed income operations.
• Oversee the timely submission of regulatory filings and ensure prompt responses to any related requests.
• Draft, revise, and maintain compliance documentation including manuals, written supervisory procedures, screen protocols, Form ATS filings, trading rules, and policies.
• Develop and manage controls for compliance with TRACE, RTRS, Reg ATS, Rule 15a-6, and other relevant regulations; conduct assurance reviews as appropriate.
• Monitor and analyze trade exception reports and trading activity to ensure compliance with applicable regulations and internal standards.
• Design, implement, and manage surveillance tools and processes for fixed income trading, including oversight of their ongoing effectiveness.
• Analyze regulatory rule proposals and amendments to evaluate potential business impacts and guide implementation of final rules.
• Conduct periodic compliance assessments and reviews to identify potential gaps and implement appropriate remediation strategies.
• Develop and enhance supervisory and exception reports to improve oversight and detection capabilities.
• Deliver periodic compliance training to relevant business and operational teams.
• Proactively identify risks and collaborate on effective mitigation strategies.
• Partner with cross-functional teams-including Legal, Risk, AML, Client Onboarding, and IT-to support coordinated compliance efforts.
• Perform additional compliance-related tasks and support ad hoc initiatives as required by the business.

What We're Looking For:

• 7-10 years of hands-on compliance experience within a broker-dealer environment, specifically supporting fixed income businesses.
• Bachelor's degree required.
• FINRA Series 7 and 24 licenses preferred, or willingness to obtain them shortly after hire.
• Deep understanding of fixed income markets, products, and relevant regulatory reporting obligations.
• Exceptional written communication skills, with the ability to draft clear and effective documentation.
• Strong interpersonal skills and a collaborative mindset, with the ability to work effectively across teams.
• Excellent verbal communication and analytical thinking skills.
• Technically adept, with the ability to grasp complex systems and regulatory frameworks.
• Proven ability to prioritize and manage multiple responsibilities in a fast-paced environment.
• Comfortable interacting with and supporting senior leadership and other key stakeholders.

OOJ-1419G

Skills:

FINRA,Compliance Management,Fixed Income,Leadership + Management,Stakeholder Engagement