Role Overview:
We are seeking an experienced and detail-oriented Compliance Supervisor to oversee risk management and compliance activities with our Broker-Dealer Trading Department. This role ensures adherence to regulatory requirements, internal policies, and industry best practices. The successful candidate will play a key role in monitoring trading activity, regulatory reporting obligations, and supporting the firm’s risk management framework.
Location: The ideal candidate will be located in Pittsburgh, PA and able to report to our office there. However, remote candidates are encouraged to apply.
Key Responsibilities:
- Supervise day-to-day compliance oversight of equity, fixed income & options trading activities, including corporate bonds, municipal bonds, government securities and structured products.
- Monitor trade activity for adherence to applicable regulations (e.g., SEC, FINRA and MSRB), internal policies, market conduct standards and trade reporting requirements.
- Provide real-time support to traders and sales personnel on regulatory and policy-related inquiries.
- Conduct trade surveillance reviews and escalate any potentially suspicious or non-compliant activity.
- Collaborate with the surveillance, legal, risk and operations teams to ensure a coordinated compliance approach.
- Assist with regulatory exams, audits, and internal investigations related to equity & fixed income trading.
- Interpret new regulatory developments and assess their impact on the trading desk and associated compliance processes.
- Support the development, maintenance, and delivery of trading compliance training programs.
- Document and maintain compliance policies and procedures relevant to the equity & fixed income business.
Required Skills/Abilities:
- Deep understanding of fixed income products, market structure, and applicable U.S. securities laws and regulations.
- In depth knowledge of fixed income trade reporting for municipal and corporate bonds.
- Familiarity with CAT, RTRS Municipal Trade reporting portal and the FINRA TRAQs corporate bond trade reporting portal.
- Prior supervisory or team leadership experience preferred.
- Strong analytical, investigative, problem-solving skills.
- Excellent communication and interpersonal skills, with the ability to work collaboratively across departments.
Education and Experience:
- Bachelor’s degree in Finance, Business or a related field preferred or an equivalent combination of education and work.
- 5+ years of relevant compliance experience in a broker-dealer or investment firm, with strong focus on fixed income trading.
- Experience with trade surveillance tools (e.g. BondWave, Bloomberg or similar systems).
- Familiarity with SEC Rule 15c2-11, MSRB rules, TRACE reporting, and Regulation Best Interest (Reg BI).
- Proficiency in Excel and data analysis tools is a plus.
- Required FINRA Licenses: FINRA Series 4, 7, 24, 53 and 63
