Senior Compliance Officer
Senior Compliance Officer - Fixed Income Markets (On‑Site NYC)
Base Salary: $200,000-$250,000 + Competitive Bonus
A leading global financial institution is seeking an experienced Senior Compliance Officer to support its fixed income trading and sales businesses. This is a high‑visibility, front‑office-facing role responsible for providing real‑time regulatory guidance, strengthening control frameworks, and partnering with senior stakeholders across the trading floor.
The ideal candidate brings deep product fluency, sound judgment, and the ability to translate complex regulatory expectations into clear, actionable guidance for fast‑moving markets.
Key Responsibilities
Partner with trading and sales leadership to refine workflows, enhance controls, and support strategic business initiatives.
Advise on regulatory considerations related to new products, algorithmic strategies, complex transactions, and desk‑level enhancements.
Contribute to system upgrades, platform rollouts, and regulatory change programs.
Coordinate responses to regulatory inquiries, prepare supporting documentation, and liaise with internal legal, risk, and operations teams.
Serve as a day‑to‑day resource on trading rules, market conduct, reporting obligations, and policy interpretation.
Monitor evolving regulatory developments and market‑structure changes to identify emerging risks.
Collaborate with compliance colleagues across U.S. and global offices to ensure consistent oversight and alignment.
Qualifications
5-10+ years of compliance experience supporting fixed income businesses within a broker‑dealer, bank, or similar environment.
Strong understanding of fixed income products, including corporates, municipals, Treasuries, securitized products, and financing markets.
Working knowledge of key U.S. regulatory regimes governing fixed income activity (e.g., SEC, FINRA, MSRB, market‑abuse frameworks, reporting rules).
Excellent communication skills and the ability to deliver concise, practical guidance to senior stakeholders.
Experience working directly with traders and front‑office leadership.
Relevant licenses (e.g., Series 7/24) or willingness to obtain.
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