Broadgate · 1 month ago
AVP or VP – Compliance Business Partner, FIC Sales & Trading
New York, NY
Full-time
Hybrid
Senior Level
$130K/yr - $200K/yr
7+ years expBroadgate is a global financial institution seeking a Compliance Business Partner to support its Fixed Income & Currencies Sales & Trading business, primarily focusing on credit products. This high-impact VP-level role involves collaborating with trading and sales teams to influence compliance culture and risk frameworks while ensuring adherence to regulatory standards.
Staffing & Recruiting
Hiring Manager
Connor Nurse
Responsibilities
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
Qualification
Required
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
Preferred
JD or MBA is a plus
Company
Broadgate
Our expert consultants help regulated businesses navigate a changing world with confidence.
51-200 employees
Funding
Current Stage
Growth StageRecent News
EIN Presswire
2025-01-23
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