Broadgate
AVP or VP – Compliance Business Partner, FIC Sales & Trading
Broadgate, New York, New York, us, 10261
VP – Compliance Business Partner, FIC Sales & Trading | New York, NY (Hybrid) |
Vice President Level |
Full-Time | A global financial institution is looking to hire a Compliance Business Partner to support its Fixed Income & Currencies (FIC) Sales & Trading business, with a primary focus on credit products. This is a high-impact VP-level role working directly with front-office trading and sales teams, offering a rare opportunity to influence the compliance culture and risk framework of a major markets division. What You'll Be Doing
Act as the first point of contact for compliance advisory within credit trading and sales. Monitor regulatory developments and help the business adapt policies, controls, and processes in line with market regulations (SEC, FINRA, CFTC, MSRB). Participate in and lead internal risk assessments, surveillance reviews, and compliance testing efforts. Collaborate with stakeholders on control design, policy implementation, and supervisory oversight. Support internal investigations, regulatory inquiries, and audits. Deliver targeted training and guidance to ensure adherence to firm-wide and regulatory standards. Partner with business leaders to proactively identify, assess, and mitigate compliance risks. What You Bring
7+ years of compliance, legal, or regulatory advisory experience within capital markets. Strong understanding of fixed income products, particularly credit instruments. Knowledge of broker-dealer regulations and U.S. financial market requirements (SEC, FINRA, CFTC, etc.). Confident communicator with the ability to engage front-office professionals and senior leadership. Bachelor’s degree required; JD or MBA is a plus.
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Vice President Level |
Full-Time | A global financial institution is looking to hire a Compliance Business Partner to support its Fixed Income & Currencies (FIC) Sales & Trading business, with a primary focus on credit products. This is a high-impact VP-level role working directly with front-office trading and sales teams, offering a rare opportunity to influence the compliance culture and risk framework of a major markets division. What You'll Be Doing
Act as the first point of contact for compliance advisory within credit trading and sales. Monitor regulatory developments and help the business adapt policies, controls, and processes in line with market regulations (SEC, FINRA, CFTC, MSRB). Participate in and lead internal risk assessments, surveillance reviews, and compliance testing efforts. Collaborate with stakeholders on control design, policy implementation, and supervisory oversight. Support internal investigations, regulatory inquiries, and audits. Deliver targeted training and guidance to ensure adherence to firm-wide and regulatory standards. Partner with business leaders to proactively identify, assess, and mitigate compliance risks. What You Bring
7+ years of compliance, legal, or regulatory advisory experience within capital markets. Strong understanding of fixed income products, particularly credit instruments. Knowledge of broker-dealer regulations and U.S. financial market requirements (SEC, FINRA, CFTC, etc.). Confident communicator with the ability to engage front-office professionals and senior leadership. Bachelor’s degree required; JD or MBA is a plus.
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