Fixed Income Compliance Officer
Listed on 2026-03-06
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
A leading global financial services firm is seeking a Compliance Officer to support its fixed income trading and operational businesses. This hybrid role is based in New York and will report to senior compliance leadership. The individual will provide day-to-day regulatory guidance to business units, ensuring adherence to applicable U.S. securities laws and regulatory requirements.
The role requires a strong technical foundation in securities regulation and excellent writing skills, as the individual will be responsible for drafting and enhancing compliance manuals, written supervisory procedures (WSPs), trading rules, information barrier protocols, and regulatory filings (including Form ATS exhibits). The Compliance Officer will also conduct transaction surveillance, assist with regulatory inquiries, support the development of new monitoring tools, and partner with Technology on compliance-related initiatives.
Key Responsibilities- Provide regulatory guidance to fixed income trading desks and operational teams
- Draft, review, and update compliance policies, WSPs, trading rules, and regulatory documentation
- Oversee controls related to trade reporting obligations (e.g., TRACE, RTRS), Reg ATS, Rule 15a-6, and other applicable regulations
- Conduct monitoring and testing of policies and procedures, documenting findings and escalating issues as needed
- Design and implement surveillance reports and processes for fixed income trading activity
- Review trade exception reports and electronic communications
- Assist with responses to regulatory inquiries and examinations (e.g., FINRA, SEC, CFTC)
- Deliver periodic compliance training to business stakeholders
- 7–10 years of compliance experience within a broker-dealer environment
- Strong knowledge of U.S. securities markets and regulatory frameworks
- Demonstrated experience drafting and maintaining compliance documentation
- Series 7 license (or ability to obtain upon hire)
- Strong analytical, organizational, and communication skills
- Ability to manage multiple priorities in a fast-paced environment
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).