- 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
- Citigroup (New York, NY)
- Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM). Specific coverage areas include: ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- Bank of America (New York, NY)
- Compliance & Operational Risk Manager- Global Markets & Fixed Income New York, New York **Job Description:** At Bank of America, we are guided by a common ... job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line...abreast of regulatory change/developments **Required:** * Good knowledge of fixed income products and services * Excellent… more
- MetroLink (Los Angeles, CA)
- Accountant I - ( Fixed Assets) Print (https://www.governmentjobs.com/careers/scrra/jobs/newprint/4634210) Apply Accountant I - ( Fixed Assets) Salary $68,192.00 ... analyses. This position will ensure we are capturing, capitalizing, and depreciating our fixed assets timely. TO APPLY: This recruitment will have a review of… more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Closing date for applications: 29/09/2024 Stamford,United States Permanent Full Time \#R-00241613 Share: ... 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
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and ... strategies (equity, fixed income , liquid alternatives and private equity)...five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer… more
- Wellington (Boston, MA)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of...all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As… more
- Wellington (Boston, MA)
- …with those of our clients. **About the Role** **Core Regulatory Compliance Officer ** company overview Wellington Management offers comprehensive investment ... approximately $1.2 trillion in public investments. Position overview The Compliance Officer will be a member of...all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As… more
- Wells Fargo (New York, NY)
- …Qualifications:** + 3+ years of direct experience in the fixed income securities industry in underwriting, trading, sales, compliance , legal, or regulatory ... **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part of **Corporate & Investment Banking (CIB) Compliance .**… 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