Chief Fixed Income Regulatory Supervisor

Description:

Southwest Securities is a leader in trading and underwriting fixed income securities. The firm's Taxable Fixed Income Division is involved in a variety of markets and deals with middle markets to Tier 1 accounts.  We are seeking a Chief Fixed Income Regulatory Supervision Officer who has 5 years experience with knowledge of FINRA rules and regulations, risk management, fixed income sales and trading supervision.

Responsibilities:Provide advice to business management and business personnel on day to day supervision issues and a variety of new laws and regulations.Establish and implement new and update existing written supervisory policies and procedures.Ensure timely and accurate regulatory filings working with compliance and internal audit.Working with senior management and compliance respond to inquiries by regulators such as FINRA, and SEC. Coordinate with Operations, IT, and Compliance on initiatives including controls, surveillance, testing, training and introduction of new products.Perform daily, weekly, and monthly supervision reviews for sales, trading, and syndicate.



Qualifications: 

Education: Bachelor’s degree required.  JD preferred.



Experience: 5+ years with law firm, regulator, investment bank or government, engaged fixed income supervision, compliance or audit.  FINRA Series 7, 63, 24 and 10 required. Series 4 will be required within six months of hire. Working knowledge of regulatory reporting such as TRACE.  Risk management and fixed income supervision experience preferred.

Please apply on-line at www.swsgroupinc.com AND email your resume to sdoyle@swst.com .