SVP Supervising Principal, Fixed Income Trading (Hybrid)

Howard-Sloan Search; Chicago (IL); Hybrid; USD 180,000 - 320,000; Full time

Job summary

Howard-Sloan Search seeks a SVP, Supervising Principal to oversee operations and supervision on its institutional fixed income trading desk. The role entails supervising daily trading activity, ensuring SEC/FINRA compliance, and managing risk with traders, sales, compliance, accounting, and legal teams.

Responsibilities include reviewing transactions, approving high-risk orders, and maintaining supervisory controls, while coordinating audits and regulatory inquiries.

Qualifications

• Active FINRA Series 7, 63, and 24 licenses.
• 5+ years of institutional broker-dealer operations and supervisory experience.
• Deep knowledge of fixed income products, especially corporate bonds.
• Strong working knowledge of SEC and FINRA rules and of risk management systems.
• Experience with Bloomberg trading and settlement systems.

Responsibilities

• Monitor real-time risk and end-of-day trading activity for 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.

Skills

FINRA licenses

Fixed income

Regulatory compliance

Risk management

Supervisory experience

Tools

Bloomberg

Job description

Howard-Sloan Search seeks a SVP, Supervising Principal to oversee operations and supervision on its institutional fixed income trading desk. The role entails supervising daily trading activity, ensuring SEC/FINRA compliance, and managing risk with traders, sales, compliance, accounting, and legal teams.

Responsibilities include reviewing transactions, approving high-risk orders, and maintaining supervisory controls, while coordinating audits and regulatory inquiries.