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.
What’s On Offer
- Competitive compensation: $130,000 – $200,000 base + performance-based incentives.
- Hybrid working environment – New York-based role with flexibility.
- Comprehensive benefits including healthcare, retirement plans, wellness initiatives, and paid time off.
- The opportunity to make a real impact in a high-visibility role on a dynamic trading floor.
