Senior Vice President, Supervising Principal
$100,000–$100,000 year
On-siteChicago, Illinois, United States
Job Summary
Monitor real-time risk and end-of-day trading activity for market abuse, errors, or policy breaches on the institutional fixed income trading desk. Review transactions, approve high-risk orders, process trades, reconcile financials, manage margin exchange, and supervise representatives and traders while maintaining supervisory controls. Provide real-time compliance and regulatory guidance to traders and sales teams, update desk-level written supervisory procedures, and coordinate internal audits to respond to regulatory inquiries. Requires active FINRA Series 7, 63, and 24 licenses, with a base salary between $100,000 and $130,000 per year.
Required Qualifications
- Active FINRA Series 7, 63, 24
- 5+ years of institutional broker-dealer operational and supervisory experience or working for 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 regulations and risk management systems
- Previous use of Bloomberg trading and settlement systems
- Working knowledge of excel, extiva
- Deep knowledge of Broker-Dealer operations and regulations
- Able to handle multiple tasks and be flexible around daily job responsibilities
- High attention to detail under fast-paced, high-pressure trading environments
- Sound decision-making regarding risk tolerance and regulatory enforcement
- Clear communication skills to guide trading personnel and collaborate with team of Principals, Compliance, Accounting and Legal
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.