AVP, Fixed Income Compliance Officer

Jefferies
New York
Workplace: OnsiteFull timeUSD 120,000 - 140,000 annuallyFunction: Legal, Risk & ComplianceExperience: 5+ yearsEducation: bachelorsSkills: ["Analytical skills","Communication","Organizational skills","Sound judgment","Attention to detail","Collaboration"]

Support the Fixed Income Compliance Advisory team by analyzing and reporting compliance metrics for Fixed Income Sales & Trading. Build and enhance dashboards, trackers, and management information to monitor compliance risks, regulatory obligations, and control processes. Assist with data analysis across U.S. rates and credit products, surveillance and monitoring reviews, regulatory/audit materials, and compliance testing, partnering with Compliance, Technology, Operations, and Risk to improve reporting and documentation.

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FursaFursa
Jefferies
Jefferies
1 day ago

AVP, Fixed Income Compliance Officer

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Source: Company careers pageValidated by: Fursa AI
Last checked: 19 hours agoStatus: Live

Job Summary

Support the Fixed Income Compliance Advisory team by analyzing and reporting compliance metrics for Fixed Income Sales & Trading. Build and enhance dashboards, trackers, and management information to monitor compliance risks, regulatory obligations, and control processes. Assist with data analysis across U.S. rates and credit products, surveillance and monitoring reviews, regulatory/audit materials, and compliance testing, partnering with Compliance, Technology, Operations, and Risk to improve reporting and documentation.
Location: New York
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Sr. Director level

Key Responsibilities

  • •Support the Fixed Income Compliance Advisory team with data analysis, reporting, and preparation of compliance metrics for Fixed Income Sales & Trading.
  • •Develop and maintain recurring reports, dashboards, trackers, and management information to monitor compliance risks, regulatory obligations, and control processes.
  • •Compile and analyze data related to U.S. rates and credit products, primary dealer activities, Treasury auctions, and fixed income regulatory requirements.
  • •Identify trends, exceptions, and potential issues by reviewing trade, surveillance, monitoring, and control data.
  • •Assist with compliance monitoring and testing, including data gathering, sample selection, documentation, issue tracking, and governance/regulatory/audit materials.

Pay and Benefits

Salary: USD 120,000 - 140,000 annually
Perks:MedicalDentalVision401kLife InsuranceDisability InsuranceWellness StipendPaid LeaveParental LeavePaid Holidays

Key Requirements

  • •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 other fixed income-related requirements a plus.
  • •Strong analytical, communication, and organizational skills with sound judgment and attention to detail.
Experience:5+ yearsComplianceLegalRegulatoryAuditRiskFinancial servicesFixed incomeSales and tradingBroker-dealer
Education:Bachelor's
Skills:Analytical skillsCommunicationOrganizational skillsSound judgmentAttention to detailCollaboration
Tech Stack:Microsoft ExcelMicrosoft WordMicrosoft PowerPointBloomberg

Company Brief

Jefferies
Global investment banking and capital markets firm providing advisory, underwriting, trading, research, and asset management services to corporations, governments, and institutional investors.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: New York, United States
Founded: 1962
WebsiteLinkedIn