- 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
- BMO Financial Group (New York, NY)
- …arrangement - 3 days in the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and ... will assist in the implementation, maintenance and administration of the Fixed Income compliance program. Coordinate and performs risk assessment,… 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
- Mizuho Corporate Bank (New York, NY)
- …controls mindset + Solid understanding of key financial products particularly equities, fixed income and derivatives instruments + Strong experience in one ... team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and...key product areas covered by the team (eg, equities, fixed income , derivatives, etc.) + Experience working… more
- Citigroup (New York, NY)
- …We support an extensive range of Capital Markets products and services including: + Fixed Income (FX, Rates, Credit, Muni, Cash and Derivatives) where Citi is ... with a range of internal stakeholders including Sales and Trading Desks, Compliance , Legal, Finance and HR; alongside having significant interaction with our… more
- Wells Fargo (New York, NY)
- …rule-based and risk-based Surveillance tools + Experience with Trading + Strong fixed income product expertise + Excellent communication skills (verbal, written ... role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance. Learn more about our...+ Manage key relationships with Business Heads, Desk Heads, Compliance , COO and CIB Control for Rates + Represent… 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
- HSBC (New York, NY)
- …and/or regulatory experience, or equivalent with experience in Credit or Fixed Income preferred + Strong background in compliance within a financial services ... all share. The Global Debt Market Line of Business Compliance Officer will have responsibility for advising...a pay range between $138,400.00 and $207,600.00 The final fixed pay offer will depend on the candidate and… more
- Siebert Williams Shank (New York, NY)
- …years of compliance experience (broker-dealer preferred) + Experience with fixed income products (notably municipal, corporate, government, and agency bonds) ... the Compliance team led by the Chief Compliance Officer . The successful candidate will support...strive to provide competitive, market-informed compensation. The target total fixed compensation range for this position is $90,000 -… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... Compliance team, you will support the firm and the Chief Compliance Officer by providing day-to-day guidance to all stakeholders. You will continue to build… 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
- TD Bank (New York, NY)
- …surveillance team. Preferred 3-5 years of experience in surveillance of either Fixed Income Products, Foreign Exchange and Commodities, Equities Options and ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… 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
- Wellington (New York, NY)
- …and span nearly all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As a private partnership ... the fund's Board of Trustees, and the funds' Chief Compliance Officer + Providing analysis of applicable...all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As… more
- JPMorgan Chase (Jersey City, NJ)
- …Management team oversees investment guidelines for all firm products, including Fixed Income , Equity, Alternatives, Passive Investments, Multi Asset Solutions, ... and Currency. They ensure accuracy and compliance by collaborating with portfolio and risk managers, traders,...as Python is a plus. Final Job Grade and officer title will be determined at time of offer… 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 ... proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer. https://www.dol.gov/ofccp/regs/ compliance /posters/pdf/eeopost.pdf **Group Details** Tradeweb is looking for a US… more
- 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 ... Platform, and Client Services. Reporting directly to Neuberger Berman's Chief Technology Officer and serving as a member of the Global Technology Management Team,… more