- SMBC (New York, NY)
- …and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. + Strong ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...sales and trading groups with a focus on all Fixed Income activities including Primary Dealer and… more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Our people work differently depending on their jobs ... of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced ...and policies on electronic and algorithmic trading for our fixed income and foreign exchange businesses. +… more
- Siebert Williams Shank (New York, NY)
- …with at least 5 years of compliance experience * Experience with fixed income products (notably municipal, corporate, government, and agency bonds) and ... professional to the team led by the Chief Compliance Officer . The selected candidates will be...and procedures, communicating all regulatory changes to the taxable fixed income , municipal & equity securities sales… more
- Scotiabank (New York, NY)
- Senior Manager, Conduct Compliance Officer **Requisition ID:** 210173 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...sales and trading groups with a focus on all Fixed Income activities including Primary Dealer. +… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... lines and asset classes, including OTC derivatives, structured notes/products, equities, fixed income , listed options, equity derivatives, and hedging… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious… more
- Neuberger Berman (New York, NY)
- …worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity, commodities, and portfolio advise, ... assets (as of June 30, 2024) across a range of strategies-including equity, fixed income , quantitative and multi-asset class, private equity and hedge funds-on… more
- SMBC (New York, NY)
- …practices + Functional knowledge of Middle and Back office processes specific to Fixed Income , Equities, Futures and Credit Derivatives + Functional knowledge of ... Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual… more
- Neuberger Berman (New York, NY)
- …person and entity new accounts, with strategies spanning across asset classes (equity, fixed income , private equity/credit and hedge funds) with emphasis on best ... assets (as of June 30, 2024) across a range of strategies-including equity, fixed income , quantitative and multi-asset class, private equity and hedge funds-on… more
- City of New York (New York, NY)
- …financial services organization handling complex financial transactions with considerable exposure to fixed income investments, such as high yield, bank loans, ... and the City of New York. The Senior Investment Officer will assist in overseeing BAM's Alternative Credit program,...and managing the portfolio of existing investments to ensure compliance with the terms of the limited partnership agreement… more
- Capital One (New York, NY)
- …Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional FINRA registered ... Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise...mergers and acquisitions. + Experience with trade surveillance of fixed income (asset backed securities including commercial… more
- Wellington (New York, NY)
- …of the Legal, Compliance and Risk Group and will report to the Chief Compliance Officer , Americas/Global Head of Funds Compliance , and work closely with ... and span nearly all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As a private partnership… more
- NatWest Markets (Stamford, CT)
- … policies. + Provide subject matter expertise on rules and regulations pertaining to fixed income sales and trading including but not limited to CFTC Swap ... operations of the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory Lead will serve… more
- NYU Rory Meyers College of Nursing (New York, NY)
- …managers. Extensive experience underwriting strategies such as statistical arbitrage, macro, fixed income relative value and alternative credit required. ... Position Summary Reporting to the Chief Investment Officer , the Managing Director of Investments takes a significant role in the strategy development and investment… more
- Morgan Stanley (Purchase, NY)
- …closed-end funds, alternative investments, insurance and annuities) and global capital markets (eg, fixed income , equities and structured products) * . Ability to ... coordination with support partners such as Product teams, Operations, Technology, Compliance and Legalto identify and assess operational risks and implement controls… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... regulatory reporting, and product control under GAAP and IFRS. + Act primarily as Officer in Charge (OIC) for assigned projects, processes, and units. May act as… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... and all audit activities are conducted / executed / delivered in compliance with governing regulations, internal policies, and procedures. **What You'll Do** +… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... overall success of the Office of the Chief Operating Officer in the United States and the US Operations...+ Document and Distribute minutes post meetings Adherence to Compliance Requirements: + Ensure adherence to the US … more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... operational resilience, and business continuity. + Act as an Officer in Charge (OIC) for assigned projects. Execute on...such as COEs, regional audit teams including Capital Markets, Compliance , Risk Management, and IT to develop a stronger… more