- 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
- 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
- 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
- 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
- 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
- General Dynamics Information Technology (Aurora, CO)
- …Accreditation_ _Process_ _Review required documentation to ensure quality, completeness and compliance with ICD 705 and/or other applicable regulations (ie FFC, CSP, ... in ensuring program requirements are met._ _Experience preparing Preconstruction Fixed Facility Checklists (FFC), Construction Security Plans (CSP), TEMPEST… more
- Valor Health (Emmett, ID)
- Chief Financial Officer Emmett, ID (http://maps.google.com/maps?q=1202+E+Locust+Emmett+ID+USA+83617) Apply Description Position Title: Chief Financial Officer ... Chief Executive Officer (CEO) I. Position Summary: The Chief Financial Officer (CFO) will be responsible for overseeing the financial operations and strategic… 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
- 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
- Wellington (Boston, MA)
- …and span nearly all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As a private partnership ... of the Assurance & Surveillance Team, the Assurance Testing Officer will: + Design and conduct compliance testing reviews that seeks to verify compliance … 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
- 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
- Sanford Health (Sioux Falls, SD)
- …capital reserves, and operational funding. Oversee asset classes such as equities, fixed income , real estate, and alternative investments. Establish asset ... **Job Schedule:** Full time **Weekly Hours:** 40.00 **Job Summary** The Chief Investment Officer ("CIO") for Sanford Health is a key member of the senior leadership… 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