- 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
- BMO Financial Group (New York, NY)
- …arrangement - 3 days in the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and ... will assist in the implementation, maintenance and administration of the Fixed Income compliance program. Coordinate and performs risk assessment,… 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
- 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
- Mizuho Corporate Bank (New York, NY)
- …controls mindset + Solid understanding of key financial products particularly equities, fixed income and derivatives instruments + Strong experience in one ... team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and...key product areas covered by the team (eg, equities, fixed income , derivatives, etc.) + Experience working… more
- Citigroup (New York, NY)
- …We support an extensive range of Capital Markets products and services including: + Fixed Income (FX, Rates, Credit, Muni, Cash and Derivatives) where Citi is ... with a range of internal stakeholders including Sales and Trading Desks, Compliance , Legal, Finance and HR; alongside having significant interaction with our… 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
- HSBC (New York, NY)
- …and/or regulatory experience, or equivalent with experience in Credit or Fixed Income preferred + Strong background in compliance within a financial services ... all share. The Global Debt Market Line of Business Compliance Officer will have responsibility for advising...a pay range between $138,400.00 and $207,600.00 The final fixed pay offer will depend on the candidate and… more
- Siebert Williams Shank (New York, NY)
- …years of compliance experience (broker-dealer preferred) + Experience with fixed income products (notably municipal, corporate, government, and agency bonds) ... the Compliance team led by the Chief Compliance Officer . The successful candidate will support...strive to provide competitive, market-informed compensation. The target total fixed compensation range for this position is $90,000 -… 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
- TD Bank (New York, NY)
- …surveillance team. Preferred 3-5 years of experience in surveillance of either Fixed Income Products, Foreign Exchange and Commodities, Equities Options and ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… 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
- Wellington (New York, NY)
- …and span nearly all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As a private partnership ... the fund's Board of Trustees, and the funds' Chief Compliance Officer + Providing analysis of applicable...all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As… more
- Tradeweb (New York, NY)
- …Since our first trade in 1998, we have helped transform and electronify the fixed income markets. Tradeweb is a culture built on innovation, creativity and ... proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer. https://www.dol.gov/ofccp/regs/ compliance /posters/pdf/eeopost.pdf **Group Details** Tradeweb is looking for a US… more
- Neuberger Berman (New York, NY)
- …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 ... Platform, and Client Services. Reporting directly to Neuberger Berman's Chief Technology Officer and serving as a member of the Global Technology Management Team,… more