Fixed Income Trade Supervision

A well-established global capital markets platform is seeking a senior Fixed Income Supervision professional to oversee front office trading activities across credit and rates products. This individual will play a critical role in strengthening supervisory controls, enhancing governance frameworks, and ensuring regulatory alignment within a dynamic trading environment.

This is a high-visibility role with direct interaction across Trading, Compliance, Legal, Risk, and Operations.

• Provide supervisory oversight of fixed income trading desks, ensuring compliance with FINRA, SEC, and applicable exchange regulations
• Perform daily trade reviews, monitor order handling and client activity, and escalate exceptions appropriately
• Partner with Compliance to maintain and enhance Written Supervisory Procedures (WSPs)
• Review supervisory attestations and certifications to ensure effective control execution

• Serve as a subject matter expert on fixed income supervisory requirements
• Support regulatory examinations and inquiries related to trading supervision
• Ensure regulatory reporting related to fixed income activities is timely and accurate
• Evaluate and strengthen supervisory frameworks within a fast-paced trading environment
• Identify control gaps and implement practical remediation strategies
• Contribute to the development and improvement of surveillance and supervisory reporting tools
• Provide guidance on operational risk mitigation across fixed income activities

• 6+ years of experience within financial services, including meaningful exposure to fixed income supervision
• Strong understanding of fixed income products, trading practices, and sales workflows
• Direct experience interacting with FINRA, SEC, or other regulatory bodies
• Proven ability to assess and enhance supervisory controls in an active trading environment
• Strong analytical, communication, and stakeholder management skills
• FINRA principal licenses preferred (e.g., Series 24, 7, 57)
• Bachelor’s degree in Finance, Economics, or related field

This role offers the opportunity to operate as a senior individual contributor within a respected platform known for its global trading footprint and strong capital markets presence.