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Fixed Income Compliance Jobs in Indiana (NOW HIRING)

Valeo Financial Advisors

Municipal Bond Trader

Carmel, IN · On-site

  • Medical

  • Retirement

  • PTO

Executes fixed income transactions in accordance with internal investment team strategy and ... Documents execution decisions to support best-execution review and compliance requirements. * Works ...

Valeo Financial Advisors LLC

Municipal Bond Trader

Carmel, IN · On-site

$120 - $190/hr

  • Medical

  • Retirement

  • PTO

Executes fixed income transactions in accordance with internal investment team strategy and ... Documents execution decisions to support best-execution review and compliance requirements. * Works ...

Sanctuary Wealth Group LLC

Surveillance Analyst

Indianapolis, IN · Hybrid

$150K/yr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

Familiarity with a broad range of investment products and services (e.g., equities, fixed income ... other compliance systems) to analyze trading and account activity. * High proficiency in data ...

Baird Capital

Client Specialist

Evansville, IN · On-site

May enter security orders including stocks, bonds, fixed income, options, annuities and other ... Understands compliance regulations and correspondence policies. Maintains client confidentiality in ...

Baird

Client Specialist

Evansville, IN · On-site

May enter security orders including stocks, bonds, fixed income, options, annuities and other ... Understands compliance regulations and correspondence policies. Maintains client confidentiality in ...

Baird

Client Specialist

Evansville, IN · On-site

May enter security orders including stocks, bonds, fixed income, options, annuities and other ... Understands compliance regulations and correspondence policies. Maintains client confidentiality in ...

Robert W Baird & Co

Client Specialist

Evansville, IN · On-site

May enter security orders including stocks, bonds, fixed income, options, annuities and other ... Understands compliance regulations and correspondence policies. Maintains client confidentiality in ...

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All JobsFixed Income Compliance JobsFixed Income Compliance Jobs in Indiana

Fixed Income Compliance information

What is the difference between Fixed Income Compliance vs Fixed Income Trading?

AspectFixed Income ComplianceFixed Income Trading
Primary FocusEnsuring adherence to regulations and internal policies in fixed income securitiesBuying and selling fixed income securities to generate profit
Required CredentialsCertifications like Series 7, Series 63, or Series 24 often preferredSeries 7, Series 63, or Series 55 typically required
Work EnvironmentRegulatory departments, compliance teams, financial institutionsTrading floors, investment banks, asset management firms
Key ResponsibilitiesMonitoring trades, implementing compliance policies, risk managementExecuting trades, market analysis, portfolio management

While Fixed Income Compliance focuses on regulatory adherence and risk mitigation within fixed income securities, Fixed Income Trading involves actively buying and selling these securities to achieve investment objectives. Both roles require similar certifications and often work within the same financial institutions, but their core functions differ significantly.

Is fixed income compliance a good career?

Fixed income compliance is a specialized field within financial regulation that involves ensuring firms adhere to laws and policies related to bond and debt securities. It requires strong knowledge of financial regulations, attention to detail, and often certification such as the Series 7 or 24. The role offers stability and opportunities for advancement in the finance industry.

What are popular job titles related to Fixed Income Compliance jobs in Indiana?

For Fixed Income Compliance jobs in Indiana, the most frequently searched job titles are:

What job categories do people searching Fixed Income Compliance jobs in Indiana look for?

The top searched job categories for Fixed Income Compliance jobs in Indiana are:

What cities in Indiana are hiring for Fixed Income Compliance jobs?

Cities in Indiana with the most Fixed Income Compliance job openings:

Fixed Income Compliance jobs near you

Municipal Bond Trader

Valeo Financial Advisors

Carmel, IN • On-site

Full-time

Medical, Retirement, PTO

Posted 12 days ago

Job description

Valeo Financial Advisors is one of the largest RIA firms in the Midwest, with over $11B in assets under management, and is rapidly growing and expanding. We provide comprehensive, independent financial advice to our clients with one simple transparent fee. Based in central Indiana, we are committed to empowering the next generation and revolutionizing the financial services industry. Valeo provides competitive benefits including unlimited PTO, 401(k) with company match, and health coverage.
The Municipal Bond Trader executes municipal bond transactions for client portfolios as part of Valeo's centralized investment team, supporting more than 100 financial advisors. Based in our Carmel, Indiana office, this position works closely with Investment Team members across a large book of client accounts, executing trades in accordance with established investment guidelines while upholding the firm's fiduciary responsibilities and commitment to best execution. The ideal candidate combines strong market knowledge, sound judgment, and attention to detail to help deliver favorable outcomes for clients.
This position requires consistent in-person attendance at our Carmel, Indiana headquarters.
DUTIES & RESPONSIBILITIES
  • Executes fixed income transactions in accordance with internal investment team strategy and guidelines.
  • Ensures fair and equitable treatment and allocation of all trade orders across client accounts.
  • Maintains an understanding of the factors that drive bond pricing - market environment, supply/demand technicals, rate moves, and economic fundamentals.
  • Identifies investment opportunities and attractive risk-adjusted, tax-adjusted relative value in the primary and secondary markets.
  • Identifies concentrations, gaps, and structural flaws in existing client portfolios and identifies trades to address them.
  • Conducts bond trading, including sales across multiple execution venues; maintains daily broker/dealer contact to source inventory and price liquidity.
  • Documents execution decisions to support best-execution review and compliance requirements.
  • Works closely with investment operations and analysts to invest efficiently, monitor holdings, and improve risk management.
  • Serves as a resource to Senior Investment Directors and advisors on the municipal market and specific securities.
  • Maintains orderly receipt, tracking, and execution of bond orders.

REQUIREMENTS
  • Bachelor's degree is required, preferably in finance, economics, accounting, or a related field. CFA charter or progress toward the designation is preferred.
  • 5 years of relevant fixed income experience preferred.
  • Strong knowledge of fixed income markets, municipal securities, trading practices, and credit research, with the ability to assess risk-adjusted and tax-adjusted relative value opportunities.
  • Working knowledge of municipal bond structures, including general obligation and revenue bonds, sector-specific credit considerations, rating agency methodologies, and credit enhancement features.
  • Understanding of municipal bond tax considerations, including taxable-equivalent yield calculations, de minimis rules, and state-specific investment preferences.
  • Ability to evaluate relative value opportunities across the yield curve, credit quality spectrum, and bond structures, including coupon, call, premium, and discount characteristics.
  • Experience utilizing fixed income trading and market platforms such as Bloomberg, along with familiarity with trade reporting and market transparency tools.
  • Strong communication, collaboration, and decision-making skills, with the ability to remain composed and effective in dynamic market environments.
  • Exceptional attention to detail, organizational skills, and a demonstrated commitment to fiduciary responsibility and best execution practices.

Valeo is an Equal Opportunity Employer. Valeo does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment decisions are based on qualifications, merit, and business need.

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