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Fixed Income Compliance Officer Jobs (NOW HIRING)

UBS

Fixed Income Trader

New York, NY · On-site

$137K - $160K/yr

Your role Does the fixed income markets interest you? Do you like to work in a fast-paced ... compliance policies Join us At UBS, we know that it's our people, with their diverse skills ...

City of New York

Compliance Officer

Manhattan, NY · On-site

... fixed income search evaluation committees, providing in-depth guidance on bidding firms' compliance programs; - Assisting the Chief Compliance Officer in performing a compliance review of written ...

City of New York

Compliance Officer

Manhattan, NY · On-site

... fixed income search evaluation committees, providing in-depth guidance on bidding firms' compliance programs; - Assisting the Chief Compliance Officer in performing a compliance review of written ...

City of New York

Compliance Officer

Manhattan, NY

... fixed income search evaluation committees, providing in-depth guidance on bidding firms' compliance programs; - Assisting the Chief Compliance Officer in performing a compliance review of written ...

Td

Fixed Income DTC Settlement Analyst

New York, NY

$95K - $115K/yr

Ensure compliance with SEC, FINRA, and internal policies * Support audits, inquiries, and control ... fixed income securities operations * Strong hands-on expertise with DTC settlement workflows

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Fixed Income Compliance Officer information

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$31.5K

$98.9K

$207.5K

How much do fixed income compliance officer jobs pay per year?

As of Jun 11, 2026, the average yearly pay for fixed income compliance officer in the United States is $98,949.00, according to ZipRecruiter salary data. Most workers in this role earn between $61,500.00 and $115,000.00 per year, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive as a Fixed Income Compliance Officer, and why are they important?

To thrive as a Fixed Income Compliance Officer, you need a solid understanding of fixed income products, financial regulations, and compliance frameworks, often supported by a degree in finance, law, or a related field. Familiarity with compliance monitoring systems, trade surveillance tools, and certifications such as CRCM or CAMS is typically required. Attention to detail, analytical thinking, and strong communication skills are essential for identifying risks and effectively collaborating with various teams. These skills and qualifications are vital for ensuring regulatory adherence, minimizing risk, and maintaining the integrity of fixed income operations.

What are some common challenges faced by Fixed Income Compliance Officers in ensuring regulatory adherence across complex products?

Fixed Income Compliance Officers often encounter challenges related to the diversity and complexity of fixed income products, such as bonds, derivatives, and structured securities. Staying updated with evolving regulations (such as SEC or MiFID II requirements) and ensuring that trading activities, client communications, and reporting remain compliant can be demanding. These officers must collaborate closely with traders, legal teams, and risk managers to interpret rules accurately and implement effective monitoring systems. Strong analytical skills and proactive communication are essential to identifying potential risks and addressing compliance issues before they escalate.

What is a Fixed Income Compliance Officer?

A Fixed Income Compliance Officer is a professional responsible for ensuring that an organization's fixed income trading and investment activities comply with relevant laws, regulations, and internal policies. They monitor transactions, review documentation, and provide guidance to trading desks and portfolio managers to prevent regulatory violations. Their work helps protect the firm from legal and financial risks and ensures ethical conduct in the fixed income markets. Fixed Income Compliance Officers also stay updated on changing regulations and may conduct employee training or audits as needed.

What is the difference between Fixed Income Compliance Officer vs Fixed Income Analyst?

AspectFixed Income Compliance OfficerFixed Income Analyst
CredentialsCertifications like CFA, FINRA licenses often preferredTypically requires a finance or economics degree, CFA beneficial
Work EnvironmentRegulatory compliance departments, financial institutionsInvestment firms, asset management companies, banks
Primary FocusEnsuring adherence to regulations and internal policiesAnalyzing bond markets, evaluating investment opportunities

The Fixed Income Compliance Officer primarily focuses on regulatory adherence and risk management within fixed income portfolios, while the Fixed Income Analyst concentrates on market analysis and investment evaluation. Both roles require financial expertise and often overlap in industry settings, but their core responsibilities differ significantly.

What cities are hiring for Fixed Income Compliance Officer jobs? Cities with the most Fixed Income Compliance Officer job openings:
What states have the most Fixed Income Compliance Officer jobs? States with the most job openings for Fixed Income Compliance Officer jobs include:
Fixed Income Compliance Officer jobs near you
Senior Compliance Officer - Fixed Income

Senior Compliance Officer - Fixed Income

Susquehanna International Group, LLP

Philadelphia, PA • On-site

Full-time

Posted 15 days ago

Job description

Overview
We are seeking a highly motivated individual to join our team as a Senior Fixed Income Compliance Officer. In this role the individual will provide real-time regulatory guidance and oversight to the firm's fixed income trading and sales teams. The role ensures that business activities across the product spectrum comply with relevant regulatory requirements and internal policies. The position requires deep product knowledge, strong communication skills, and the ability to translate regulatory expectations into practical and relevant guidance. The successful candidate will partner closely with front-office stakeholders, manage regulatory risk, support surveillance and control frameworks, and contribute to a strong culture of compliance.
In this role, you will:
  • Collaborate with the business to enhance processes, drive efficiencies, and support strategic growth initiatives.
  • Advise on regulatory considerations for new business initiatives, algorithmic trading, complex transactions, and desk-level enhancements.
  • Support new system and platform implementations, regulatory change initiatives, and control enhancements.
  • Prepare documentary support, coordinate with internal groups, and help draft responses to regulatory inquiries and requests for information.
  • Develop and maintain relationships with senior business stakeholders.
  • Provide day-to-day guidance on regulatory questions, trading rules, market conduct, and policy interpretation.
  • Identify emerging risks related to market structure, regulatory change, or product development.
  • Work closely with other members of the trading compliance team in the US and globally, ensuring coordination and collaboration.

What we're looking for
  • 5-10+ years of compliance experience within fixed income markets.
    Strong understanding of fixed income products (e.g., corporates, municipals, Treasuries, MBS/ABS, repo).
  • Working knowledge of relevant regulations, including:
  • Exchange Act rules, MSRB rules, FINRA fixed income obligations, Regulation M, Rule 144, Rule 10b-5, SEC/FINRA reporting rules, and market abuse regimes.
  • Excellent judgment, communication skills, and ability to provide concise, practical advice
  • Experience interacting with traders and senior business stakeholders.
  • Relevant licenses (e.g., Series 7, 24) or willingness to obtain.

If you're a recruiting agency and want to partner with us, please reach out to recruiting@sig.com. Any resume or referral submitted in the absence of a signed agreement will not be eligible for an agency fee.
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