AVP, Fixed Income Compliance Officer
About this role
AVP, Fixed Income Compliance Officer
Location: New York, NY
This position is well-suited for a candidate with strong analytical and technical skills who is interested in developing fixed income compliance expertise. The successful candidate will assist with compliance reporting, metrics, dashboards, monitoring, data analysis, and process improvements, while supporting the broader team on regulatory and advisory matters.
Key Responsibilities
- Support the Fixed Income Compliance Advisory team through data analysis, reporting, and preparation of compliance metrics related to Fixed Income Sales & Trading activity.
- Develop, maintain, and enhance recurring reports, dashboards, trackers, and management information used to monitor compliance risks, regulatory obligations, and control processes.
- Assist with compiling and analyzing data related to U.S. Rates, Credit products, primary dealer activities, Treasury auctions, certifications, disclosures, and other fixed income regulatory requirements.
- Help identify trends, exceptions, and potential issues through review of trade, surveillance, monitoring, and control data.
- Partner with Compliance, Technology, Operations, Risk, and other control functions to improve reporting processes, data quality, workflow efficiency, and control documentation.
- Support the preparation of materials for internal meetings, governance forums, regulatory inquiries, audits, and management updates.
- Assist with compliance monitoring and testing activities, including data gathering, sample selection, documentation, and issue tracking.
- Maintain internal trackers for regulatory obligations, remediation items, compliance reviews, policies, procedures, and training initiatives.
- Support the development and maintenance of desk guidance, procedures, training materials, and other compliance documentation.
- Participate in special projects focused on automation, reporting enhancements, dashboard creation, process improvement, and cross-product Fixed Income compliance support.
Qualifications
- Bachelor’s degree required.
- 5+ years of compliance, legal, regulatory, audit, risk, or related financial services experience.
- Exposure to fixed income products, sales and trading, or broker-dealer activities preferred.
- Working knowledge of U.S. securities and broker-dealer regulations, including FINRA and SEC rules; familiarity with CFTC, Federal Reserve, Treasury, or other fixed income-related requirements a plus.
- Strong analytical, communication, and organizational skills, with sound judgment and attention to detail.
- Ability to work collaboratively with business, Compliance, Legal, Operations, Technology, and other control partners.
- Proficiency in Microsoft Excel, Word, and PowerPoint; Bloomberg experience preferred.
Primary Location: New York, NY Full Time Salary Range of $120,000-$140,000.
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Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services. With more than 40 offices around the world, we offer insights and expertise to investors, companies, and governments.
At Jefferies, we are committed to building a culture that provides opportunities for all employees regardless of our differences and supports a workforce that is reflective of the communities where we work and live. As a result, we are able to pool our collective insights and intelligence to provide fresh and innovative thinking for our clients.
Jefferies is committed to creating and sustaining a workforce that welcomes individuals from all backgrounds to apply. Our employment decisions are made without regard to race, creed, color, national origin, ancestry, religion, pregnancy, age, medical condition, physical or mental disability, marital status, domestic partner status, sex, sexual orientation, gender, gender identity or expression, veteran or military status, genetic information, reproductive health decisions, or any other factor protected by applicable law. We are committed to hiring the most qualified applicants and complying with all federal, state, and local equal employment opportunity laws. As part of this commitment, Jefferies will extend reasonable accommodation to individuals with disabilities, as required by applicable law.
The salary offered will take into consideration an individual’s experience level and qualifications. In addition to salary, Jefferies Financial Group is proud to offer a comprehensive benefits package to eligible, full-time employees or part-time employees, who are scheduled to work at least 30 hours or more per week, including an annual discretionary incentive and retention bonus, competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Jefferies also offers paid time off packages that include planned time off (e.g., vacation), unplanned time off (e.g., sick leave), and paid holidays, and for full-time employees, paid parental leave.
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