Senior VP, Fixed Income Trading & Compliance Leader

Mesirow; Chicago (IL); On-site; USD 100,000 - 130,000; Full time

Job summary

Mesirow is an independent, employee-owned financial services firm founded in 1937 with offices across the country, including Chicago. The role supports an institutional fixed income trading desk, overseeing operations and daily trading, ensuring compliance with SEC and FINRA regulations and managing risk.

The Senior Vice President, Supervising Principal reviews transactions, approves high-risk orders, processes trades and fund movements, reconciles financials, and maintains supervisory controls

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, focusing on corporate bonds.
• Strong working knowledge of SEC and FINRA rules and risk management systems.
• Experience with Bloomberg trading and settlement systems; proficiency in Excel.

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 trading desk, especially for corporate bonds.
• Perform supervisory principal responsibilities for the fixed income desk.
• Offer real-time regulatory guidance to traders and sales teams.
• Maintain desk-level written supervisory procedures (WSPs).
• Coordinate internal audits and respond to regulatory inquiries or examinations.
• Support the regulatory financial accounting team.

Skills

Fixed income knowledge

Regulatory compliance

Risk management

Leadership

Communication

Tools

Bloomberg

Excel

Job description

Mesirow is an independent, employee-owned financial services firm founded in 1937 with offices across the country, including Chicago. The role supports an institutional fixed income trading desk, overseeing operations and daily trading, ensuring compliance with SEC and FINRA regulations and managing risk.

The Senior Vice President, Supervising Principal reviews transactions, approves high-risk orders, processes trades and fund movements, reconciles financials, and maintains supervisory controls