Senior Manager, Fixed Income Supervision

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.

• 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 elevate 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.

• 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.

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

• 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%).