- 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
- Wells Fargo (New York, NY)
- …Manager (COO) to join its team as a senior business manager/ COO for fixed income capital markets. In collaboration with senior business and functional leaders ... leveraged finance and fund finance businesses. The Chief Operating Officer (COO) for Capital Markets within CIB banking is...ongoing monitoring and reporting of CIB Banking's strategy within fixed income capital markets. **In this role,… 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 ... 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
- Santander US (New York, NY)
- Compliance Officer - Markets Business Line...real-time compliance advisory support to the US Fixed Income & Currencies sales and trading ... You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business which focus on credit, rates,… more
- City and County of San Francisco (San Francisco, CA)
- …defined as lowest cost as well as ensuring proper and adequate coverage of the fixed income markets. + Understand trading costs and employ a trading strategy ... position shall serve at the pleasure of the Appointing Officer . Our Mission The Office of the Treasurer &...+ Experience in buy-side investment management of short duration fixed income portfolios. + Experience investing within… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious… 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
- First Horizon Bank (Memphis, TN)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... **Description** **Location:** On site in Memphis, TN **SUMMARY** A Privacy Officer is responsible for developing, implementing, and overseeing an organization's… more
- First Horizon Bank (Memphis, TN)
- **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for ... consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been… more
- City of Toledo (Toledo, OH)
- Rehabilitation Projects Officer Print (https://www.governmentjobs.com/careers/toledooh/jobs/newprint/2519389) Apply Rehabilitation Projects Officer Salary ... the general supervision of the Lead Safe Coordinator, the Rehabilitation Projects Officer is tasked with planning, implementing, and inspecting homes and residential… more
- ADP (Wilmington, DE)
- …ensure compliance with regulatory requirements. The Delaware Investment Center manages fixed income portfolios with approximately $40 billion in assets under ... appropriate. + **Trading Operations** + Oversee trading operations covering fixed income securities, overnight investments and reverse...the timely filing of the Reports of Condition and Income (Call Report) in compliance with FFIEC… more
- First Horizon Bank (Memphis, TN)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... of all Products and Services to all applicable regulations in which Corporate Compliance has oversight responsibility, with a primary focus on Wealth Management and… 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
- City National Bank (Los Angeles, CA)
- …sales of a broad range of investments, with a particular emphasis on taxable and tax-exempt fixed income securities as well as equity and fixed income ... degree of investment knowledge as well as a strong understanding of compliance and regulatory issues. Communicate effectively with clients and Bank colleagues in… more
- City National Bank (Los Angeles, CA)
- …transfers, asset servicing, and client account maintenance. Process money market transfers, fixed income , mutual fund, and equity trades and provide technical ... *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors...brokerage accounts preferred. * Knowledge of Equities, Mutual Funds, Fixed Income , IRA's, and 529 Plans preferred.… more
- City National Bank (Los Angeles, CA)
- …manner. * Provide suitable recommendations to CNS clients on approved products including fixed income , mutual funds, and managed products. * Provide Sales and ... *ASSISTANT INVESTMENT OFFICER (FLOATER)* WHAT IS THE OPPORTUNITY? Assist Investment Officers...National Financial Systems. * Knowledge of Equities, Mutual Funds, Fixed Income , IRA's, and 529 Plans. *… 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
- Robert Half Management Resources (Frisco, TX)
- Description Management Resources is seeking an Interim Chief Accounting Officer / Controller for a 5 month project. The Chief Accounting Officer oversees the ... accounting operations of the company, including development, compliance , and ongoing maintenance of internal control policies and procedures, corporate accounting,… more
- First Horizon Bank (Coral Gables, FL)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... officer . You'll have the opportunity to achieve extraordinary income that is well into six figures based on...requirements of a background credit check. This position requires compliance with the SAFE Mortgage Licensing Act of 2008… more