Job details

SVP, Fixed Income Compliance Advisory - Credit

Get a free resume review

Job Title: Fixed Income Compliance Officer

Level: Senior Vice President

Reporting to: US Head of Fixed Income Compliance

Job Description:

The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with primary coverage of Credit products and US Rates.

Responsibilities:

This position is based in New York City in the Fixed Income Compliance Advisory Group and will be primarily responsible for the following:

Offer regulatory and compliance guidance to business partners on intricate sales and trading matters, particularly those related to credit products such as Investment Grade, High Yield, and Emerging Markets.
Serve as a subject matter expert on products, regulatory reporting, and broker-dealer operations by maintaining proficient knowledge of applicable functions, securities laws, and regulatory rules.
Working with business partners (i.e., Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports, and processes to monitor business activities, identify regulatory risk.
Recognizes and addresses regulatory risks by evaluating current procedures, conducting gap analyses, and ensuring compliance with up-to-date regulatory requirements.
Monitoring the business’ activities and timely escalating any issues that put the firm at risk.
Design and present training material regarding new rules, rule changes, regulatory initiatives, and firm policies.
Developing and revising policies and procedures to stay aligned with evolving regulations, rule amendments and firm policies.
Actively participate on internal governance committees and industry committees and working groups.
Responding to examination requests, regulatory inquiries, and audit requests in addition to developing remediation plans for any identified exceptions.
Lead and participate on special projects.

Required Background/ Desired Experience & Skills:

Bachelor’s degree
7-10 years of compliance experience in a trading advisory capacity
Extensive knowledge of the fixed income products and markets.
Experience engaging with regulatory authorities
In depth understanding of cross-border issues
Working knowledge of Bloomberg
Knowledge of FINRA, SEC, and other regulatory rules and regulations
Fluent in Excel, Word, and PowerPoint

Primary Location Full Time Salary Range of $175,000 - $250,000

Average salary estimate

$212500 / YEARLY (est.)

min

max

$175000K

$250000K

If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.

What You Should Know About SVP, Fixed Income Compliance Advisory - Credit, Jefferies

Join the dynamic team at a leading financial services company as the SVP, Fixed Income Compliance Advisory - Credit, where you’ll become a pivotal advisor within the Fixed Income Compliance Advisory Group. Located in the bustling city of New York, this role focuses primarily on Credit products and US Rates. As the go-to compliance expert, you’ll provide essential regulatory guidance to business partners navigating the complex world of sales and trading related to credit products, including Investment Grade, High Yield, and Emerging Markets. Your depth of knowledge in securities laws and attention to regulatory changes will allow you to establish robust processes that mitigate risks. You'll work collaboratively with multiple departments to develop innovative systems and tools to track compliance and address regulatory concerns promptly. Additionally, your ability to design informative training materials will ensure that both your team and partners stay ahead of regulatory updates. You’ll actively engage with internal and external committees, demonstrating your commitment to the industry and fostering strong relationships. With 7-10 years of compliance experience under your belt and extensive familiarity with regulatory authorities, you'll drive initiatives that align with firm policies and evolving regulations. All of this comes with a competitive salary range of $175,000 - $250,000. If you’re ready to step into a leadership role and make a significant impact, we encourage you to explore this exciting opportunity.

Frequently Asked Questions (FAQs) for SVP, Fixed Income Compliance Advisory - Credit Role at Jefferies

What are the responsibilities of the SVP, Fixed Income Compliance Advisory - Credit at this company?

The SVP, Fixed Income Compliance Advisory - Credit is responsible for providing regulatory and compliance guidance related to complex sales and trading matters in Credit products. This role involves evaluating current procedures to identify and mitigate regulatory risks, working collaboratively with various partners to enhance compliance monitoring systems, and designing training materials on new regulations. Additionally, this position plays a key role in responding to regulatory inquiries and ensuring that policies and procedures are up-to-date with evolving regulations.