Senior Compliance Officer - Fixed Income

Overview

We are seeking a highly motivated individual to join our team as a Senior Fixed Income Compliance Officer.   In this role the individual will provide real-time regulatory guidance and oversight to the firm’s fixed income trading and sales teams. The role ensures that business activities across the product spectrum comply with relevant regulatory requirements and internal policies. The position requires deep product knowledge, strong communication skills, and the ability to translate regulatory expectations into practical and relevant guidance.  The successful candidate will partner closely with front-office stakeholders, manage regulatory risk, support surveillance and control frameworks, and contribute to a strong culture of compliance.

 

In this role, you will:

• Collaborate with the business to enhance processes, drive efficiencies, and support strategic growth initiatives.
• Advise on regulatory considerations for new business initiatives, algorithmic trading, complex transactions, and desk-level enhancements.
• Support new system and platform implementations, regulatory change initiatives, and control enhancements.
• Prepare documentary support, coordinate with internal groups, and help draft responses to regulatory inquiries and requests for information.
• Develop and maintain relationships with senior business stakeholders.
• Provide day‑to‑day guidance on regulatory questions, trading rules, market conduct, and policy interpretation.
• Identify emerging risks related to market structure, regulatory change, or product development.
• Work closely with other members of the trading compliance team in the US and globally, ensuring coordination and collaboration.

What we’re looking for

• 5–10+ years of compliance experience within fixed income markets.Strong understanding of fixed income products (e.g., corporates, municipals, Treasuries, MBS/ABS, repo).
• Working knowledge of relevant regulations, including:
• Exchange Act rules, MSRB rules, FINRA fixed income obligations, Regulation M, Rule 144, Rule 10b‑5, SEC/FINRA reporting rules, and market abuse regimes.
• Excellent judgment, communication skills, and ability to provide concise, practical advice
• Experience interacting with traders and senior business stakeholders.
• Relevant licenses (e.g., Series 7, 24) or willingness to obtain.

If you're a recruiting agency and want to partner with us, please reach out to [email protected]. Any resume or referral submitted in the absence of a signed agreement will not be eligible for an agency fee.

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