Senior Vice President, Supervising Principal
About The Position
Mesirow is an independent, employee-owned financial services firm founded in 1937. Headquartered in Chicago, with offices across the country, Mesirow serves clients through capabilities spanning Private Capital & Currency, Capital Markets and Investment Banking, and Advisory Services. A Senior Vice President, Supervising Principal working on a institutional fixed income trading desk overseeing operations and supervision of daily trading activities, supporting compliance with SEC and FINRA regulations and managing risk. Daily responsibilities include reviewing transactions, approving high-risk orders, processing and reviewing trades and fund movements, reconciliation of financials, manage margin exchange, supervising representatives and traders and maintaining supervisory controls.
Requirements
- Active FINRA Series 7, 63, 24
- 5+ years of institutional broker-dealer operational and supervisory experience or working for a regulatory or self-regulatory organization.
- Deep knowledge of fixed income products and options, with a focus on corporate bonds.
- Strong working knowledge of SEC and FINRA rules and regulations and risk management systems.
- Previous use of Bloomberg trading and settlement systems, along with working knowledge of excel, extiva
Nice To Haves
- Deep knowledge of Broker-Dealer operations and regulations
- Able to handle multiple tasks and be flexible around daily job responsibilities
- High attention to detail under fast-paced, high-pressure trading environments.
- Sound decision-making regarding risk tolerance and regulatory enforcement.
- Clear communication skills to guide trading personnel and collaborate with team of Principals, Compliance, Accounting and Legal
Responsibilities
- Monitor in real-time risk and end-of-day trading activity for market abuse, errors, or policy breaches.
- Operational support for fixed income trading desk, especially with respect to corporate bonds
- Supervisory principal responsibilities for fixed income trading desk
- Provide real-time compliance and regulatory guidance to traders and sales teams.
- Maintain and update desk-level written supervisory procedures (WSPs).
- Coordinate internal audits and respond to regulatory inquiries or examinations
- Support for the regulatory financial accounting team
Benefits
- bonus
- Mesirow benefit program
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
