Compliance Officer - Fixed Income
Core
Provide real-time regulatory guidance and compliance oversight to the firm's fixed income trading and sales teams, ensuring business activities comply with relevant regulatory requirements and internal policies.
Role type
Senior IC compliance officer (fixed income)
Builds
Compliance oversight and regulatory advice for fixed income trading desks
Domain
Financial services / Fixed income markets
Deliverable
client delivery
Required skills
Fixed income product knowledge, regulatory knowledge (Exchange Act, MSRB, FINRA, SEC), trading strategy understanding, risk assessment, stakeholder management, regulatory reporting
Preferred skills
Relevant licenses (Series 7, 24), experience interacting with regulators, system implementation knowledge
Technologies
Trading systems, compliance platforms
Responsibilities
Develop understanding of trading strategies and market microstructure; Provide day-to-day compliance advice; Collaborate on process enhancements; Advise on new business initiatives and regulatory changes; Prepare regulatory documentation; Identify emerging market risks; Coordinate with global compliance teams