Fixed Income Sales & Trading Assistant

Confidential Jobs; Memphis (TX); Hybrid; USD 99,000 - 121,000; Full time

Job summary

A leading financial services firm is seeking a Senior Manager, Fixed Income Supervision in Memphis to oversee supervisory controls and regulatory compliance for Fixed Income sales and trading. The successful candidate will lead supervisory processes, conduct surveillance reviews, and ensure alignment with regulations. Ideal applicants will have 8-10 years of relevant experience and a strong understanding of Fixed Income products. This hybrid role may require travel approximately 20% of the time.

Qualifications

• 8–10 years of supervisory, compliance, or regulatory experience within Fixed Income or institutional markets.
• Prior experience with surveillance, regulatory reviews, or control functions strongly preferred.

Responsibilities

• Lead and enhance supervisory processes supporting Fixed Income sales and trading.
• Review transactional activity and market data to identify compliance issues.
• Conduct surveillance reviews and escalate concerning activity.

Skills

Understanding of Fixed Income products

Familiarity with regulatory frameworks (FINRA, SEC)

Analytical skills

Organizational skills

Effective communication

Education

Bachelor’s degree or equivalent

Job description

Title: Senior Manager, Fixed Income Supervision

Location: Memphis, TN (Hybrid)

Compensation: $110,000/year

Job Summary:

The Senior Manager, Fixed Income Supervision oversees supervisory controls, surveillance, and regulatory compliance for Fixed Income sales and trading activities. The role operates with significant autonomy, reviewing trading activity, identifying potential issues, and ensuring alignment with regulatory requirements and firm policies. The position requires deep expertise in Fixed Income products, market practices, and the supervisory framework governing institutional trading.

Key Responsibilities:

• Lead and enhance supervisory processes supporting Fixed Income sales and trading.
• Review transactional activity, market data, and exception reports to identify risk indicators or compliance issues.
• Conduct surveillance reviews and escalate concerning activity to management.
• Recommend and track remediation actions for identified control gaps.
• Stay current on regulations affecting Fixed Income activity and apply them to daily supervisory processes.
• Maintain accurate and complete written supervisory procedures for Fixed Income operations.
• Prepare supervisory reports, analysis, and presentations for leadership and control partners.
• Build strong partnerships with Compliance, Risk, Legal, Operations, and business stakeholders.
• Support departmental initiatives and continuous improvement of supervisory controls.

Knowledge & Skills:

• Strong understanding of Fixed Income products, market structure, and trade workflows.
• Deep familiarity with regulatory frameworks governing Fixed Income activity (e.g., FINRA, SEC).
• Ability to interpret and apply regulatory rules in real‑time trading and supervisory scenarios.
• Advanced analytical skills with the ability to interpret patterns, trends, and exceptions.
• Strong organizational skills with an ability to manage multiple priorities and deliver concise analysis.
• Effective communicator with the ability to influence stakeholders across functions.
• Ability to work independently while coordinating across multiple control teams.

Required Licenses / Certifications:

• SIE
• FINRA Series 7
• FINRA Series 24
• FINRA Series 9/10

Qualifications:

• Bachelor’s degree in a related field, or equivalent combination of education and experience.
• 8–10 years of supervisory, compliance, or regulatory experience within Fixed Income or institutional markets.
• Prior experience with surveillance, regulatory reviews, or control functions strongly preferred.
• Travel may be required (approximately 20%).