Summary
A well-established, independent financial services spanning capital markets, investment banking, private capital, and advisory services, with offices across the U.S. [Chicago: Hybrid 3/2]
The Opportunity
The firm seeks a SVP, Supervising Principal to oversee operations & supervision on its institutional fixed income trading desk. This person will supervise daily trading activity, support compliance with SEC and FINRA regulations, and manage risk, working closely with traders, sales, compliance, accounting, & legal.
Day to day, this role will review transactions, approve high-risk orders, process and review trades & fund movements, reconcile financials, manage margin exchange, supervise representatives and traders, & maintain supervisory controls.
Key Responsibilities
- Monitor real-time risk and end-of-day trading activity for market abuse, errors, or policy breaches
- Provide operational support for the fixed income desk, especially corporate bonds
- Serve as supervisory principal for the institutional fixed income trading desk
- Give traders and sales teams real-time compliance and regulatory guidance
- Maintain and update desk-level written supervisory procedures (WSPs)
- Coordinate internal audits and respond to regulatory inquiries and examinations
- Support the regulatory financial accounting team
Qualifications
- Active FINRA Series 7, 63, and 24 licenses
- 5+ years of institutional broker-dealer operations and supervisory experience, or experience at a regulatory or self-regulatory organization
- Deep knowledge of fixed income products and options, with a focus on corporate bonds
- Strong working knowledge of SEC and FINRA rules and of risk management systems
- Experience with Bloomberg trading and settlement systems.
Job Description
A well-established, independent financial services spanning capital markets, investment banking, private capital, and advisory services, with offices across the U.S. [Chicago: Hybrid 3/2]
The Opportunity
The firm seeks a SVP, Supervising Principal to oversee operations & supervision on its institutional fixed income trading desk. This person will supervise daily trading activity, support compliance with SEC and FINRA regulations, and manage risk, working closely with traders, sales, compliance, accounting, & legal.
Day to day, this role will review transactions, approve high-risk orders, process and review trades & fund movements, reconcile financials, manage margin exchange, supervise representatives and traders, & maintain supervisory controls.
Key Responsibilities
- Monitor real-time risk and end-of-day trading activity for market abuse, errors, or policy breaches
- Provide operational support for the fixed income desk, especially corporate bonds
- Serve as supervisory principal for the institutional fixed income trading desk
- Give traders and sales teams real-time compliance and regulatory guidance
- Maintain and update desk-level written supervisory procedures (WSPs)
- Coordinate internal audits and respond to regulatory inquiries and examinations
- Support the regulatory financial accounting team
Qualifications
- Active FINRA Series 7, 63, and 24 licenses
- 5+ years of institutional broker-dealer operations and supervisory experience, or experience at a regulatory or self-regulatory organization
- Deep knowledge of fixed income products and options, with a focus on corporate bonds
- Strong working knowledge of SEC and FINRA rules and of risk management systems
- Experience with Bloomberg trading and settlement systems.
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