Mesirow

Location: Chicago

Key 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

Qualifications and 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, Nextiva

To apply: https://recruiting2.ultipro.com/MES1003MFAC/JobBoard/69451223-cdce-4faf-9407-23a2cd5ac83b/OpportunityDetail?opportunityId=61da4bb7-dbfe-40f7-bc0b-183989e5eb7c