VP, Fixed Income Advisory

Fast Growing Company
Wide Exposure Across the Firm

About Our Client

Client is one of the fastest growing diversified global financial services platforms.

Job Description

Deliver strategic compliance advisory support to U.S. broker-dealer business units across various product and service lines.
Lead or contribute to responses for regulatory inquiries and examinations affecting U.S. broker-dealer operations.
Prepare or support the drafting of regulatory guidance and compliance input for business change proposals submitted to senior management through internal governance forums.
Build and manage collaborative relationships with leadership across broker-dealer business lines to support ongoing regulatory engagement.
Coordinate with stakeholders to ensure that all U.S. and regional compliance deadlines and deliverables are met in accordance with the Americas Compliance Calendar.
Partner with internal departments such as Surveillance, Technology, and Operations to enhance monitoring frameworks, reporting tools, and control processes.
Serve as a subject matter expert on a wide range of products, operational processes, and regulatory reporting obligations related to broker-dealer activity.
Provide expert compliance advice on complex trading and sales practices, including cross-border and structured transactions.
Support the development, maintenance, and execution of U.S. broker-dealer policies, including Written Supervisory Procedures (WSPs), ensuring alignment with applicable rules and business practices.
Offer compliance oversight and input for trade surveillance programs to detect and prevent market abuse or misconduct.
Advise on and assist with regulatory reporting initiatives to meet obligations under SEC, FINRA, MSRB, and other regulatory frameworks.
Monitor and help enforce adherence to the firm's regulatory responsibilities and internal policies under all applicable securities laws and regulatory bodies.
Follow the firm's operational risk protocols, ensuring compliance with control thresholds and escalation procedures.
Uphold the highest standards of ethical conduct and professional integrity, embodying the firm's values and acting as a role model to others.
Maintain full awareness of and compliance with internal governance policies related to your position and any associated functions.
Promptly report potential policy violations to Compliance or relevant supervisory personnel.
Immediately escalate identified risk incidents or compliance concerns through proper channels.
Contribute to enterprise risk identification and management processes by offering subject matter input when necessary.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Over ten (10+) years of experience delivering regulatory and compliance advisory support, with a strong concentration in U.S. fixed income markets.
In-depth understanding of broker-dealer structures, products, and operational frameworks, particularly within fixed income trading and related services.
Strong command of applicable securities regulations, including those enforced by the SEC, FINRA, MSRB, and other regulatory authorities, with the ability to interpret rules and assess business impact.
Expertise in U.S. fixed income regulatory obligations, including trade reporting (e.g., TRACE), transaction oversight, and execution standards.
Bachelor's Degree in Finance, Economics, Business, or a closely related field is preferred.
Demonstrated ability to assess, design, and implement effective supervisory controls, policies, and Written Supervisory Procedures (WSPs) aligned with regulatory expectations.
Proven track record of handling multiple complex projects in fast-paced, high-pressure environments while delivering timely and high-quality outcomes.
Ability to communicate compliance guidance confidently and professionally to senior business stakeholders and cross-functional teams.
Skilled in making difficult regulatory decisions, with the ability to clearly articulate and defend positions based on risk, rule interpretation, and firm policy.
Comfortable working both autonomously and collaboratively across business units, compliance, legal, and operations functions.
Quick learner with the capacity to absorb new regulatory developments and business processes with minimal oversight.
Strong understanding of risk and control principles applicable to regulated financial institutions, particularly those operating in the broker-dealer space.
High level of professionalism, ethics, and personal integrity; serves as a role model for conduct and decision-making within the firm.
Experience operating within a firm's risk framework and understanding how regulatory compliance supports enterprise-level risk management.
Ability to escalate compliance issues, risk events, or policy breaches appropriately and in accordance with firm protocols.
Proficient at contributing compliance perspectives to governance, risk, and control discussions and initiatives.

What's on Offer

Chance to join one of the few top firm's actively growing out their compliance function at the moment and play a pivotal role in enhancing their compliance from a Fixed Income advisory perspective.

Contact

Connor Duenas

Quote job ref

JN-052025-6743451