- 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
- 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 ... more
- 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 ... 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 ... 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 ... 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 ... 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 ... 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 ... 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, ... 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 ... 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) ... 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 ... more
- 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 ... 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. ... more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... 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 ... 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 ... 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 ... more