Senior VP, Fixed Income Trading — Supervising Principal

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

Job summary

Mesirow, a Chicago-based independent financial services firm, seeks a Senior Vice President, Supervising Principal for its institutional fixed income trading desk. You will oversee daily trading, ensure SEC/FINRA compliance, manage risk, and guide traders and sales teams from a supervisory principal role.

Key responsibilities include real-time risk monitoring, supervising the desk, maintaining supervisory procedures, and coordinating regulatory inquiries.

Qualifications

• Active FINRA Series 7, 63, 24 licenses are required.
• 5+ years of institutional broker-dealer operational and supervisory experience.
• Deep knowledge of fixed income products, especially corporate bonds.
• Strong understanding of SEC/FINRA rules and risk management systems.

Responsibilities

• Monitor real-time risk and end-of-day trading activity for policy breaches.
• Provide supervisory oversight for fixed income trading desk.
• Review transactions and approve high-risk orders.
• Coordinate regulatory inquiries and internal audits; support accounting teams.

Skills

FINRA licenses

Institutional supervision

Fixed income knowledge

Regulatory compliance

Risk management

Tools

Bloomberg

Excel

Extiva

Job description

Mesirow, a Chicago-based independent financial services firm, seeks a Senior Vice President, Supervising Principal for its institutional fixed income trading desk. You will oversee daily trading, ensure SEC/FINRA compliance, manage risk, and guide traders and sales teams from a supervisory principal role.

Key responsibilities include real-time risk monitoring, supervising the desk, maintaining supervisory procedures, and coordinating regulatory inquiries.