About this role
Compliance Supervisor - Options & Fixed Income Trading (PA, Pittsburgh) at Employer. Location: Pittsburgh, Pennsylvania, United States. Role: supervising compliance, monitoring trades, conducting surveillance Requirements: 5+ years compliance experience in broker-dealer or investment firm with fixed income focus; required FINRA Series 4, 7, 24, 53, 63; knowledge of SEC, FINRA, MSRB rules, TRACE, Reg BI; familiarity with RTRS, TRAQs, BondWave, Bloomberg; strong analytical and communication skills. Category: Legal and Compliance Seniority: Senior Level Tools: RTRS, FINRA TRAQs, BondWave, Bloomberg, Microsoft Excel Certifications: series 4, series 7, series 24, series 53, series 63 Commitment: Full Time Workplace: Hybrid Languages: English