Job Summary:

NewEdge Capital Group is a leading financial services organization that provides a wide array of brokerage, advisory and custody services to a diverse national client base of financial advisors and institutions through its various subsidiary companies. With assets under custody or administration of approximately $60B, its broker/dealer and registered investment advisors serve over 400 financial advisors on behalf of more than 85,000 customer accounts. For more information, visit www.newedgecapitalgroup.com.

We are seeking an experienced and detail-oriented Compliance Supervisor to oversee compliance activities with our Fixed Income Trading division. 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.

 

Responsibilities:

  • Supervise day-to-day compliance oversight of fixed income 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, and market conduct standards.
  • 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 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 fixed income trading compliance training programs.
  • Document and maintain compliance policies and procedures relevant to the fixed income business.

 

Skills & Qualifications:

  • 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.
  • FINRA Series 7, 24 and 63
  • Preferred FINRA Series 53 and 4 or obtained within 3 months of hire.
  • 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 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.