Finra Jobs in Minnesota (NOW HIRING)

At Northland, our employees are the heart of our story-and we're committed to their success! Please see below the details of this career opportunity and how it fits into our organization's success.

The Senior Fixed Income Trading Desk Support is an experienced operational professional providing high-level support across the full lifecycle of new issue competitive deals and secondary market trading activity on the Fixed Income Trading Desk. This role requires deep expertise in new issue workflows, strong counterparty coordination skills, and the ability to execute independently under significant time pressure.
This role serves as a critical backup to the Lead Fixed Income Trading Desk Support, including the ability to step in and facilitate closing calls when needed. This role also plays an important cross-training function, helping develop entry level team members in new issue workflows and operational best practices.

About This Role:

New Issue Deal Support:

• Execute the full lifecycle of new issue competitive deal support independently, including DTCC eligibility, closing coordination, funds movement, and settlement.
• Serve as the backup closing call facilitator, stepping in to lead closing calls in the absence of the Lead Fixed Income Trading Desk Support.
• Assist in managing multiple simultaneous new issue deal workflows with accuracy and efficiency, contributing to the desk's capacity to process 800-900 transactions annually.
• Oversee daily trade flow processes to ensure timely and accurate trade capture, comparison, and settlement across new issues and secondary market activity.
• Resolve trade breaks, discrepancies, and settlement issues in coordination with operations, counterparties, and clearing firms.
• Maintain expert-level proficiency in Bloomberg, iPreo, EMMA, and other trading desk platforms central to new issue deal workflows.

Compliance and Regulatory Controls:

• Support FINRA, MSRB, SEC, and firm trading reporting under the guidance of the Lead Trading Desk Support.
• Assist in monitoring trade activity, exception reporting, and surveillance reviews in coordination with the Lead and Compliance.
• Maintain proper and accurate books and records in full compliance with applicable regulations and firm policies.
• Develop familiarity with and support maintenance of operational procedures, manuals, and process documentation.
• Remain current on evolving compliance and regulatory standards affecting fixed income trading desk operations.

Team Development and Cross-Training:

• Actively cross-train entry level Trading Desk Support staff on new issue workflows, operational processes, and compliance fundamentals.
• Serve as a day-to-day resource for junior team members, providing guidance and support on deal execution and operational questions.
• Support the Lead in workflow improvement initiatives, technology upgrades, and desk efficiency projects.

Operational Coordination:

• Coordinate with counterparties, clearing firms, and issuers throughout the new issue deal lifecycle.
• Support the Lead as a trading desk liaison to Operations for process alignment and escalation handling.
• Facilitate communication between traders, sales producers, operations, and compliance to resolve issues and streamline processes.

Key Skills:

• Strong knowledge of new issue competitive deal workflows including DTCC eligibility, closing coordination, funds movement, and closing call facilitation.
• Solid understanding of FINRA, MSRB, SEC, and firm regulatory requirements applicable to fixed income trading desk operations, including FINRA TRACE and MSRB/EMMA reporting.
• Exceptional accuracy and attention to detail in a high-volume, time-sensitive environment processing 800-900 deals annually.
• Professional communication skills with the ability to coordinate effectively across traders, sales, operations, compliance, and counterparties, and to facilitate closing calls when needed.
• Ability to identify and resolve trade breaks, settlement issues, and operational discrepancies quickly and accurately.
• Ability to cross-train and support the development of junior team members.
• Comfort navigating and managing multiple competing priorities in a dynamic, high-volume trading environment.

The Ideal Candidate for This Role:

Required:

Experience: 5 - 10 years of experience in fixed income trading desk support, operations, or a related function, with significant tenure supporting new issue competitive deal workflows.

Licensing: FINRA licenses; SIE, Series 7, and Series 63

Desired:

Candidates must possess unrestricted work authorization and not require future sponsorship.

Compensation:

Compensation range (base pay): $79,363.00-$130,949.00

This role may have a specific starting pay within this range.

Final compensation offer to candidate may vary from posted hiring range based upon work experience, education, and/or skill level.

Work Environment:

It is anticipated that the incumbent in this role will work onsite at the posted location. Our onsite environment fosters innovation, mentorship, and a vibrant culture where ideas flow freely and relationships flourish. As part of our team, you'll experience the energy of our collaborative spaces designed to support your professional growth while working alongside talented colleagues who inspire excellence daily. Please note that work location is subject to change based on business needs.

Benefits Overview:

We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance, we offer benefits to match your needs:

• Medical, Dental, Vision Insurance

• 401k, With Matching Contributions

• Time Off Programs

• Health Savings Account (HSA)/Dependent Care

• Employee Banking

• Growth Opportunities

• Tuition Assistance

• Short-Term/Long-Term Disability Insurance

Learn more about our benefits here: https://www.fnbo.com/careers/benefits/.

For additional information regarding compensation and benefits, e-mail First National at TAGAdmin@fnni.com. To ensure you receive a response, include the number of this job (listed below) in the subject line of your message.

Job number: R-20261445

Equal Opportunity & Belonging:

We believe that the quality of our employee experience is at the heart of our customer experience. One key pillar of our intended employee experience is Belonging. Belonging means we are committed to fostering a workplace culture where employees of all backgrounds feel valued, recognized, and empowered to be their authentic selves-no matter their role or where they are in their journey.

Learn more here.

Northland is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity.

Click here to download 'EEO is The Law' Self-Print Poster

Click here to download 'EEO is The Law' Supplement for Federal Contractors

Click here to download 'EEO is The Law' GINA Supplement

Northland is an Equal Opportunity/Affirmative Action/Veterans/Disability Employer - Member FDIC

Northland follows federal law regarding the use of marijuana (this applies to all non-California applicants)

Application Deadline:

All our jobs will be posted for a minimum of 5 calendar days. Job postings may come down prior to 5 calendar days based on volume of applicants.