• Fixed Income Compliance

    SMBC (New York, NY)
    …and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. + Strong ... more
    SMBC (01/04/25)
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  • Senior Manager, Conduct Compliance

    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 ... more
    Scotiabank (01/22/25)
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  • Senior Compliance Officer - Public…

    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 ... more
    SMBC (11/27/24)
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  • Senior Manager, Markets Compliance

    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 ... more
    Scotiabank (01/22/25)
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  • Executive Compliance Officer - Marex…

    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 ... more
    Marex (12/14/24)
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  • Asset Management Investment Guidelines…

    Neuberger Berman (New York, NY)
    …worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity, commodities, and portfolio advise, ... more
    Neuberger Berman (12/04/24)
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  • Vice President, Mid-Back Business Control…

    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 ... more
    SMBC (11/20/24)
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  • Supervision Officer

    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 ... more
    Neuberger Berman (01/14/25)
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  • Senior Investment Officer - Alternative…

    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, ... more
    City of New York (11/28/24)
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  • Capital Markets Compliance Analyst

    CIBC (New York, NY)
    …regulatory matters within US Capital Markets, including Cash Equities, Equity Derivatives, Delta 1, Fixed Income Sales and Trading, FX Sales, Stock Loan and US ... more
    CIBC (01/04/25)
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  • Senior Regulatory Compliance Analyst

    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 ... more
    Wellington (12/12/24)
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  • Compliance & Operational Risk Specialist

    Bank of America (Jersey City, NJ)
    …**Required Skills:** + In-depth knowledge of various financial assets such as Equities, Derivatives, Fixed income , FX and OTC products such as CDS and Swaps. + ... more
    Bank of America (10/31/24)
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  • Managing Director of Investments

    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. ... more
    NYU Rory Meyers College of Nursing (12/21/24)
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  • Business Risk and Control Manager, VP

    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 ... more
    Morgan Stanley (11/15/24)
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  • Senior Manager, US Finance & Regulatory Reporting…

    Scotiabank (New York, NY)
    …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... more
    Scotiabank (11/23/24)
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  • Senior Audit Manager, US Loan Review

    Scotiabank (New York, NY)
    …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... more
    Scotiabank (01/22/25)
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  • Manager, US Business Continuity Manager…

    Scotiabank (New York, NY)
    …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... more
    Scotiabank (12/07/24)
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  • Manager, US Internal Control and Global Wholesale…

    Scotiabank (New York, NY)
    …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... more
    Scotiabank (11/30/24)
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  • Guidelines Middle Office -Vice President

    JPMorgan Chase (Jersey City, NJ)
    …Management team oversees investment guidelines for all firm products, including Fixed Income , Equity, Alternatives, Passive Investments, Multi Asset Solutions, ... more
    JPMorgan Chase (01/19/25)
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  • Personal Trust Associate

    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 ... more
    Neuberger Berman (12/19/24)
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