• 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 ... more
    SMBC (01/04/25)
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  • Senior Compliance Officer

    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
    BMO Financial Group (02/12/25)
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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 ... more
    NatWest Markets (01/04/25)
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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 ... more
    Scotiabank (01/22/25)
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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 ... more
    SMBC (11/27/24)
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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 ... more
    Scotiabank (01/22/25)
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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 ... 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 ... more
    Neuberger Berman (01/14/25)
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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, ... more
    City of New York (02/12/25)
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  • Vice President MSS Advisory Compliance

    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
    HSBC (02/06/25)
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  • Broker/Dealer Compliance Associate

    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
    Siebert Williams Shank (02/07/25)
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  • Trade Surveillance Associate ( Compliance )

    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
    TD Bank (02/01/25)
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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 ... more
    NatWest Markets (01/04/25)
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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. ... more
    NYU Rory Meyers College of Nursing (12/21/24)
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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 ... more
    Scotiabank (01/22/25)
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  • Manager, US Internal Control and Global Wholesale…

    Scotiabank (New York, NY)
    …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... more
    Scotiabank (11/30/24)
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  • Head of Distribution Technology

    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
    Neuberger Berman (02/10/25)
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  • Regulatory Reporting Specialist

    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
    Tradeweb (01/28/25)
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  • Personal Trust Associate

    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
    Neuberger Berman (01/27/25)
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