Senior Manager, Fixed Income Supervision jobs in United States
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Confidential Jobs · 5 hours ago

Senior Manager, Fixed Income Supervision

positionMemphis Metro
timeFull-time
remoteHybrid
senioritySenior Level, Lead/Staff
money$110K/yr - $110K/yr
date8+ years exp

Confidential Jobs is seeking a Senior Manager, Fixed Income Supervision to oversee supervisory controls, surveillance, and regulatory compliance for Fixed Income sales and trading activities. This role requires deep expertise in Fixed Income products and involves reviewing trading activity, identifying potential issues, and ensuring compliance with regulatory requirements.

Computer Software

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

Qualification

Fixed Income productsRegulatory frameworksAnalytical skillsSurveillance experienceCompliance experienceOrganizational skillsEffective communicationSIEFINRA Series 7FINRA Series 24FINRA Series 9/10

Required

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

Preferred

Prior experience with surveillance, regulatory reviews, or control functions strongly preferred

Company

Confidential Jobs

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Confidential Jobs is operated by ExecThread, Inc. (https://execthread.com).
dateFounded in 2015
location
New York, NY, US
people-size201-500 employees
web-link
https://execthread.com

Funding

Current Stage
Growth Stage

Leadership Team

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Amy Nelson
Managing Partner
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Brandon Nolan
Chief Information Security Officer
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Company data provided by crunchbase