- 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
- 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
- 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
- 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
- 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
- Neuberger Berman (New York, NY)
- …worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity, commodities, and portfolio advise, ... 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
- 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 ... Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual… 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
- 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, ... and the City of New York. The Senior Investment Officer will assist in overseeing BAM's Alternative Credit program,...and managing the portfolio of existing investments to ensure compliance with the terms of the limited partnership agreement… 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
- 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. + ... us! **Job Description:** This job is responsible for assisting the Compliance and Operational Risk officer team to execute second line of defense compliance … 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
- AIG (Parsippany, NJ)
- …instruments, and the aggregation of exposures to perform compliance testing. + Fixed income compliance experience is required, and exposure to ... on US domiciled insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program. + Review… 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
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... regulatory reporting, and product control under GAAP and IFRS. + Act primarily as Officer in Charge (OIC) for assigned projects, processes, and units. May act as… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... and all audit activities are conducted / executed / delivered in compliance with governing regulations, internal policies, and procedures. **What You'll Do** +… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... overall success of the Office of the Chief Operating Officer in the United States and the US Operations...+ Document and Distribute minutes post meetings Adherence to Compliance Requirements: + Ensure adherence to the US … more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... operational resilience, and business continuity. + Act as an Officer in Charge (OIC) for assigned projects. Execute on...such as COEs, regional audit teams including Capital Markets, Compliance , Risk Management, and IT to develop a stronger… more
- Citigroup (Queens, NY)
- …reports (eg, FR 2052a, FFIEC 009/009a)** **Strong financial market knowledge of fixed income , capital markets and banking products** **Highly motivated, strong ... Testing and Validation (QATV) group within the Finance Chief Operating Officer organization. Regulatory conformance coverage includes, but is not limited to,… more
- US Bank (New York, NY)
- …requires working closely with partners in Corporate & Commercial Banking and Fixed Income Capital Markets to ensure comprehensive client coverage. **Essential ... from Day One. **Job Description** Senior Investment Grade Debt Capital Markets Officer that advises corporate clients and executes debt financing solutions for… more