- 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
- 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
- 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
- Wells Fargo (New York, NY)
- …Qualifications:** + 3+ years of direct experience in the fixed income securities industry in underwriting, trading, sales, compliance , legal, or regulatory ... **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part of **Corporate & Investment Banking (CIB) Compliance .**… 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
- 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
- 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 , 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
- 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
- HSBC (New York, NY)
- … Policy by escalating any identified compliance risk in liaison with Global Compliance Officer , Area Compliance Officer or Local Compliance ... loan impairments, trading book losses, AFS reserves, NII, fees, income and costs, etc) + Lead the work to...a pay range between $250,000 and $320,000. The final fixed pay offer will depend on the candidate and… more