Senior Fixed Income Compliance Advisor
Jobs via eFinancialCareers, New York, NY, United States
Our client is a leading global quantitative investment manager with a strong track record across systematic fixed income, macro, and relative‑value strategies. As part of the firm's continued growth, they are seeking an
Senior Fixed Income Compliance Advisor
to provide front‑office advisory coverage to their fixed income and rates trading businesses.
This is a highly visible role partnering closely with portfolio managers, traders, risk, and analytics teams in a fast‑paced, data‑driven investment environment.
Key Responsibilities
Act as the primary compliance advisor to fixed income and rates trading teams, providing real‑time guidance on regulatory, trading, and market‑structure matters
Advise on systematic and quantitative strategies across products including rates, credit, sovereign debt, derivatives, and related instruments
Support the design, enhancement, and oversight of pre‑ and post‑trade compliance controls, including rule calibration and surveillance logic
Provide compliance input on new strategies, products, and market entry initiatives, ensuring regulatory considerations are embedded from inception
Interpret and apply relevant regulations (e.g., SEC, CFTC, FINRA, global market conduct rules) within a quantitative trading framework
Partner with technology, data, and compliance engineering teams to translate regulatory requirements into scalable, automated controls
Draft, review, and maintain relevant policies, procedures, and governance documentation
Contribute to regulatory examinations, inquiries, and ongoing supervisory engagement as needed
Deliver targeted training and guidance to investment and trading professionals
Candidate Profile
7 - 10+ years of experience in front‑office compliance advisory, preferably within fixed income, rates, macro, or derivatives
Prior experience in a quantitative or systematic trading environment (or strong familiarity with quantitatively driven strategies)
Deep understanding of fixed income products and market structure, including derivatives and electronic trading models
Proven ability to operate as a credible advisor to senior portfolio managers and traders
Strong grasp of U.S. and global regulatory frameworks impacting fixed income markets
Excellent communication skills with the ability to translate regulatory requirements into practical, commercial guidance
Experience working closely with technologists or data teams is strongly preferred
Bachelor's degree required; advanced degree or JD a plus
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Senior Fixed Income Compliance Advisor
to provide front‑office advisory coverage to their fixed income and rates trading businesses.
This is a highly visible role partnering closely with portfolio managers, traders, risk, and analytics teams in a fast‑paced, data‑driven investment environment.
Key Responsibilities
Act as the primary compliance advisor to fixed income and rates trading teams, providing real‑time guidance on regulatory, trading, and market‑structure matters
Advise on systematic and quantitative strategies across products including rates, credit, sovereign debt, derivatives, and related instruments
Support the design, enhancement, and oversight of pre‑ and post‑trade compliance controls, including rule calibration and surveillance logic
Provide compliance input on new strategies, products, and market entry initiatives, ensuring regulatory considerations are embedded from inception
Interpret and apply relevant regulations (e.g., SEC, CFTC, FINRA, global market conduct rules) within a quantitative trading framework
Partner with technology, data, and compliance engineering teams to translate regulatory requirements into scalable, automated controls
Draft, review, and maintain relevant policies, procedures, and governance documentation
Contribute to regulatory examinations, inquiries, and ongoing supervisory engagement as needed
Deliver targeted training and guidance to investment and trading professionals
Candidate Profile
7 - 10+ years of experience in front‑office compliance advisory, preferably within fixed income, rates, macro, or derivatives
Prior experience in a quantitative or systematic trading environment (or strong familiarity with quantitatively driven strategies)
Deep understanding of fixed income products and market structure, including derivatives and electronic trading models
Proven ability to operate as a credible advisor to senior portfolio managers and traders
Strong grasp of U.S. and global regulatory frameworks impacting fixed income markets
Excellent communication skills with the ability to translate regulatory requirements into practical, commercial guidance
Experience working closely with technologists or data teams is strongly preferred
Bachelor's degree required; advanced degree or JD a plus
#J-18808-Ljbffr