at Jefferies
Investment BankingPosted a month ago
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The Fixed Income Compliance Officer will serve as a key compliance advisor within Jefferies' Fixed Income Compliance Advisory Group, focusing on Credit products and US Rates. The role involves providing regulatory guidance on trading matters, conducting independent testing, developing policies, and partnering with business, IT, and operations to monitor risk and implement controls. The successful candidate will have 7-10 years of fixed income compliance experience, strong knowledge of FINRA/SEC rules, Bloomberg, and cross-border issues, and will work from New York City. Primary responsibilities include training, governance participation, regulatory responses, and cross-product coverage.
- Compensation
- $225,000 – $250,000 USD
- City
- New York City
- Country
- United States
Currency: $ (USD)
Full Job Description
Fixed Income Compliance Officer
Job Description
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 Rate product inclusive of cash products, swaps and futures as well as credit products such as Investment Grade and High Yield, .
- Strong understanding of primary dealer requirements, covering of treasury auctions and various certifications and disclosures as well as the GSE obligations inclusive of annual certifications.
- 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 and functional 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.
- Conduct regular independent testing on high risk areas as well as matters of regulatory focus.
- Monitoring the business activities with timely escalating 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.
- Willingness to operate and work in a team-oriented environment, collaborating on initiatives across fixed income.
- Ability to provide cross coverage across all fixed income products.
Required Background/ Desired Experience & Skills:
- Bachelors 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
- Extensive knowledge of FINRA, SEC, and other regulatory rules and regulations
- Fluent in Excel, Word, and PowerPoint
Primary Location: New York Full Time Salary Range of $225,000-$250,000.
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About Us
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 individuals 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.
Job Info
- Job Identification 3876
- Job Category Compliance
- Posting Date 03/05/2026, 03:29 PM
- Job Schedule Full time
- Locations 520 Madison Avenue, New York, NY, 10022, US
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