- 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
- Citigroup (New York, NY)
- Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM). Specific coverage areas include: ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- Bank of America (New York, NY)
- Compliance & Operational Risk Manager- Global Markets & Fixed Income New York, New York **Job Description:** At Bank of America, we are guided by a common ... job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line...abreast of regulatory change/developments **Required:** * Good knowledge of fixed income products and services * Excellent… more
- Wells Fargo (New York, NY)
- …is seeking a Senior Lead Compliance Officer to support the business aligned compliance functions on the Fixed Income Sales & Trading Compliance ... Team. This role within the Fixed Income Sales & Trading Compliance Team is...Trading Compliance Team is the Business Aligned Compliance Officer (BACO) for the Structured Products… more
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and ... strategies (equity, fixed income , liquid alternatives and private equity)...five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer… more
- Amalgamated Bank (New York, NY)
- …assets as appropriate + Conduct compliance monitoring for internally managed fixed income and equity accounts for reporting to oversight committee meetings ... Amalgamated Bank is seeking a Trust Compliance & Risk Officer to be...department policies and procedures, including but not limited to fixed income and equity portfolio management, broker/dealers,… more
- Wellington (New York, NY)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of...all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As… 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
- Tradeweb (New York, NY)
- Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities ... have a reporting line to a supportive and experienced compliance officer based in New York. You...in 1998, we have helped transform and electronify the fixed income markets. Tradeweb is a culture… more
- Wellington (New York, NY)
- …Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure ... Group and will report to the Private Investments Chief Compliance Officer , working closely with other ...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 ... will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations. You will be responsible for… more
- JPMorgan Chase (New York, NY)
- …delivering high quality credit analysis of our Treasury/Chief Investment Office's fixed income portfolio which includes diversified investments across ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...analysis for various Treasury/Chief Investment Office investments across the fixed income spectrum. Engage with senior members… more
- City National Bank (New York, NY)
- **CREDIT RISK OFFICER QA/QC FIRST LINE OF DEFENSE** **WHAT IS THE OPPORTUNITY?** Provides comprehensive credit risk assessment of an assigned portfolio's credit ... financial statement analysis, noting cause and effect of changes to the income statement and balance sheet.Analyzes borrower cash flow. Analyzes and conceptualizes… more
- Citigroup (New York, NY)
- …of respective Stable Value Wrap product and clients + Knowledge of fixed income securities and derivatives, including: Treasuries, corporates, Mortgage backed ... exposures or express market views. We are seeking an Officer level, Stable Value Wrap Trader . This is...in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order… more
- Citigroup (New York, NY)
- …or internal change group + Knowledge of global markets trading products ( Fixed Income , Spread Products, Equity, Rates & Currencies, Commodities) and/or ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Citigroup (New York, NY)
- …or internal change group + Knowledge of global markets trading products ( Fixed Income , Equity, Currencies & Commodities) and/or securities services (Prime, ... Knowledge of, and experience in, analyzing legislative, regulatory/supervisory and legal/ compliance texts and analysis **Qualifications:** + 10+ years experience in… 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 firm's wall cross process for privately marketed transactions for both fixed income and equity opportunities, work collaboratively with various internal ... & Risk Group and will report to a Compliance Officer based in our Boston office,...all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As… more
- Wellington (New York, NY)
- …Legal, Compliance & Risk Group and will report to the WFD Compliance Officer . Responsibilities The Compliance Analyst's principal responsibilities will ... and span nearly all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As a private partnership… more
- Mizuho Corporate Bank (New York, NY)
- …and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. ... Summary The Sanctions Compliance Associate will work to strengthen all aspects...implementing targeted training for operations teams. + Assist Sanctions Officer with ad-hoc projects, as necessary. Qualifications + BS… more