AVP, Fixed Income Compliance Officer
Core
Develop fixed income compliance expertise by assisting with compliance reporting, metrics, dashboards, monitoring, data analysis, and process improvements for Fixed Income Sales & Trading activity.
Role type
Senior IC compliance officer (fixed income)
Builds
Compliance reports, dashboards, trackers, and management information systems
Domain
Financial services / Fixed Income / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Data analysis, Regulatory reporting, Process improvement, Risk monitoring, Trend identification, Documentation management
Preferred skills
Fixed income products knowledge, Sales and trading experience, U.S. securities regulations (FINRA/SEC), Bloomberg, Automation
Technologies
Microsoft Excel, Bloomberg
Responsibilities
Develop and maintain recurring reports and dashboards to monitor compliance risks; Analyze data related to U.S. Rates, Credit products, and Treasury auctions; Identify trends and exceptions through review of trade and surveillance data; Partner with Technology and Operations to improve reporting processes and data quality; Support preparation for regulatory inquiries, audits, and governance forums; Maintain internal trackers for regulatory obligations and remediation items.
Seniority
Senior, hands-on IC
