Head of Fixed Income Operations & Trade Lifecycle Controls

Title:

Head of Fixed Income Operations & Trade Lifecycle Controls
Office Status:
Hybrid
New York, NY
Base Salary: $175k - $200k + Bonus

This is a senior operations leadership opportunity at a well-established and rapidly growing global financial services platform, offering full ownership of the Fixed Income Operations function supporting Credit, Rates, MBS, Repo, and Customer Clearing businesses. The role carries genuine team management responsibility, leading a team of seven and supervising an outsourced BPO operations team, while serving as the primary escalation point for all fixed income lifecycle events and acting as a key control owner across the firm's regulatory compliance and SOX framework.

With a growing Fixed Income Prime Brokerage business and a technology-led operating model, this is the right seat for a seasoned fixed income operations leader with 10+ years of experience who combines deep product knowledge across US Treasuries, Credit, and Repo with strong vendor management instincts, regulatory fluency, and the executive presence to engage credibly with senior management and regulators.

Lead, manage, and develop the Fixed Income Operations team;supervise work performed by the outsourced BPO operations team, ensuring the firm maintains full accountability for all output and control standards

Serve as the primary escalation point for all fixed income lifecycle events including Corporate Actions, Settlements, Fails, and Securities Financing;review and assist with team resolution of customer unaffirmed trades, street-side breaks, and failed trades

Monitor status of Regulatory Trade Reporting for all fixed income trades including FINRA TRACE;supervise defined processes to ensure adherence to regulatory requirements including Possession or Control, 17a-5, transaction reporting, and surveillance

Review daily controls across credit and rates vendor systems;adhere to and propose improvements to the firm's control framework

Work closely with the Front Office to establish best practices and drive operational efficiencies across the fixed income businesses;partner with internal stakeholders to onboard new business streams and vendors

Work with all vendors and internal parties to increase automation and strengthen the overall control framework across fixed income operations

As a Control Owner or Manager of a Control Owner: maintain SOX-assigned internal controls, implement and document controls designed to mitigate financial reporting risks, and monitor and test controls regularly to ensure they are operating effectively

Assist with internal quarterly reporting as applicable;ensure compliance with regulatory requirements under SEC, FINRA, NFA, CFTC, and applicable exchanges

Adhere to the operational risk framework;demonstrate the highest standards of integrity and conduct in line with firm values and Code of Conduct