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Manager Trader Fixed Income Jobs in Florida (NOW HIRING)

Bank of America

Portfolio Manager I

Tampa, FL · On-site

... trade execution, risk management and compliance, and investment reviews * Collaborates with teammates to deliver the bank's full array of integrated solutions, such as equities, fixed income ...

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Infographic showing various Manager Trader Fixed Income job openings in Florida as of August 2026, with employment types broken down into 86% Full Time, 13% Part Time, and 1% Contract. Highlights an 84% Physical, 2% Hybrid, and 14% Remote job distribution.

Managing Director, Broker-Dealer Supervision

NewEdge Capital Group LLC

Fort Lauderdale, FL • On-site, Remote

$173K - $196K/yr

Full-time

Posted 7 days ago

Job description

About the Role

NewEdge Securities is seeking a seasoned supervisory professional to serve as Managing Director of Broker-Dealer Supervision. This senior leader owns the design, implementation, and day-to-day management of the firm's supervisory framework across all registered representative and branch activity. The role is distinct from the compliance function and focuses on day-to-day operational supervision ? ensuring the firm meets its FINRA Rule 3110 obligations and that supervisory controls are embedded in business processes firm-wide.

Location: The ideal candidate will report to one of the following offices: Pittsburgh, PA; Stamford, CT; or Fort Lauderdale, FL. However, remote candidates are encouraged to apply.

Key Responsibilities

  • Ensure alignment with Firm WSPs, current regulatory requirements and actual business practices
  • Execute daily supervisory review of registered representative activity across equities, fixed income, options, alternative investments, and annuity/insurance products
  • Oversee onboarding supervision of registered representatives, including review of U4/U5 filings and disclosure events
  • Manage escalation of supervisory findings to senior leadership; partner with the CCO where matters have compliance or regulatory implications
  • Supervise and develop the supervision team; set performance standards and manage workflow
  • Oversee CAT reporting obligations and ensure accuracy and timeliness of submissions in coordination with operations
  • Oversee TRACE reporting supervision for fixed income transactions, including exception review and error remediation
  • Administer and leverage Smarsh for electronic communications surveillance, including email and correspondence review
  • Administer and leverage Protegent for supervisory exception reporting and trade review
  • Monitor FINRA Notices and rule updates with direct supervisory implications and update WSPs accordingly
  • Coordinate with NFS on operational supervision matters related to the clearing relationship
  • Support FINRA cycle examinations and for-cause inquiries as the subject matter expert on supervisory systems and procedures
  • Maintain the firm's supervisory review logs and exception reporting infrastructure

Qualifications

  • 10+ years of broker-dealer supervision experience in a FINRA-regulated environment
  • Active Series 24 required; Series 9/10 a plus given options and equities business lines
  • Deep working knowledge of FINRA Rule 3110, 3120, 3130, and related supervisory obligations
  • Hands-on experience with trade review and electronic communications surveillance platforms including email and correspondence review; familiarity with Protogent preferred
  • Experience supervising across multiple product types including equities, fixed income, options, alternative investments, and annuities/insurance products
  • Experience with FINRA examination processes, particularly in a supervisory capacity
  • Proven ability to build and manage supervisory systems and procedures in a growing or evolving firm
  • Strong written communication skills; WSP drafting experience required
  • Excellent interpersonal and management skills with ability to work across the spectrum of clients, business partners and regulators
  • Must possess complex problem-solving skills to deal with the daily challenges that arise from supervising registered representatives that engage in multiple and different lines of business
  • Ability to address issues in an efficient manner in a fast-paced environment
  • Correspondent broker-dealer experience a plus
  • Investment advisor experience a plus

Apply