Fixed Income Compliance Officer

Overview:

A leading global financial services firm is seeking a Fixed Income Compliance Officer to join their team in New York. This role involves providing real-time compliance support to the fixed income trading and sales teams, ensuring adherence to regulatory requirements, and maintaining effective compliance policies and procedures.

Responsibilities:

• Provide real-time guidance on regulatory implications of trading and sales activity
• Draft and update firm policies, procedures, and written supervisory procedures
• Conduct compliance training on new and existing regulations
• Monitor TRACE and MSRB reporting and generate performance metrics
• Perform electronic communications surveillance and trade reconstructions
• Draft responses to regulatory inquiries and internal audits
• Conduct on-site branch inspections and ad hoc investigations

Qualifications:

• 4–7 years of experience in fixed income compliance at a FINRA-registered broker-dealer
• Experience with trading and back-office systems, especially Bloomberg TOMS
• Strong knowledge of SEC, FINRA, and MSRB regulations applicable to fixed income sales and trading
• Experience in fixed income trade surveillance
• Familiarity with regulatory topics including trade reporting, markups/markdowns, institutional suitability, and communications rules
• Understanding of key regulatory initiatives (best execution, fair pricing, front running, etc.)
• Exposure to structured products, MBS, or private debt offerings is a plus

Education & Certifications:

• Bachelor’s degree required
• FINRA Series 7 required; Series 24 and 53 are a plus
• Law degree is a plus