- 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
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- 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
- Bank of America (New York, NY)
- …of experience in Middle Office OR Trade Control OR Trading Assistant OR Fixed Income Operation * Excellent Excel reporting-related skills * Detail-oriented to ... Officer - Markets Support Analyst New York, New...degree of accuracy with customers and data to ensure compliance with regulations and policies. **Responsibilities:** + Performs set-up… 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
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... executed in support of the team's business strategies and objectives. Serves as Compliance Officer within Bank Regulatory Compliance of the US operation of… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... Senior Audit Manager, Compliance Audit (Non-AML) **Requisition ID:** 209949 **Salary Range:**...and procedures. **What You'll Do** + Acts primarily as Officer in Charge (OIC) and leads the planning, execution… 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. ... About The teamWithin the Compliance Department, the Financial Crime Compliance ...review in the KYC system, escalating to the AML Officer any confirmed or suspected material negative information. +… 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