• 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 ... 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
    SMBC (10/05/24)
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  • Director Electronic Trading Compliance

    NatWest Markets (Stamford, CT)
    Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Our people work differently depending on their jobs ... of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced ...and policies on electronic and algorithmic trading for our fixed income and foreign exchange businesses. +… more
    NatWest Markets (10/09/24)
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  • Broker/Dealer Compliance Officer

    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
    Siebert Williams Shank (10/04/24)
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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 ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious… more
    Scotiabank (12/05/24)
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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 ... 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
    SMBC (11/27/24)
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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 ... lines and asset classes, including OTC derivatives, structured notes/products, equities, fixed income , listed options, equity derivatives, and hedging… more
    Marex (12/14/24)
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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 ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious… more
    Scotiabank (11/28/24)
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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, ... 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 (12/04/24)
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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 ... Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual… 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 ... 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 (11/19/24)
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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, ... 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
    City of New York (11/28/24)
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  • Compliance Advisor Senior Manager

    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
    Capital One (11/29/24)
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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 ... and span nearly all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As a private partnership… 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. + ... us! **Job Description:** This job is responsible for assisting the Compliance and Operational Risk officer team to execute second line of defense compliance more
    Bank of America (10/31/24)
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  • Broker Dealer Advisory - VP

    NatWest Markets (Stamford, CT)
    … policies. + Provide subject matter expertise on rules and regulations pertaining to fixed income sales and trading including but not limited to CFTC Swap ... operations of the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory Lead will serve… more
    NatWest Markets (12/04/24)
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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. ... Position Summary Reporting to the Chief Investment Officer , the Managing Director of Investments takes a significant role in the strategy development and investment… 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 ... coordination with support partners such as Product teams, Operations, Technology, Compliance and Legalto identify and assess operational risks and implement controls… 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 ... 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 (11/23/24)
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  • SVP, Finance Quality Assurance Testing…

    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
    Citigroup (12/14/24)
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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 ... and all audit activities are conducted / executed / delivered in compliance with governing regulations, internal policies, and procedures. **What You'll Do** +… more
    Scotiabank (12/12/24)
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