- Bloomberg (New York, NY)
- Fixed Income Credit Electronic Trading Salesperson, Enterprise Sales - Bloomberg Financial Solutions Location New York Business Area Sales and Client Service Ref ... OMS solutions, on both sides of the market. **What's the role?** As the Fixed Income Credit Electronic Trading Salesperson, you will be responsible for managing… more
- Raymond James Financial, Inc. (New York, NY)
- …to: + **Advisory & Support :** Provide hands-on compliance guidance to Fixed Income Sales & Trading teams. Collaborate closely with front-office professionals ... to interpret regulations, apply firm policies, and support business objectives in real time. You will be heavily integrated with Sales & Trading and Middle Office… more
- TD Bank (New York, NY)
- …communications surveillance tools (eg, Behavox). + Deep understanding of trading in equities, fixed income , FX, and derivatives markets, as well as market abuse ... a global role, the incumbent will work with the Trade and Communications Surveillance leads across geographies (US, Canada,...regulated environment + Deep understanding of trading in equities, fixed income , FX, and derivatives markets, as… more
- PNC (New York, NY)
- …will be based in New York, NY. Finra licenses required: SIE, 7 and 63 Fixed Income experience highly preferred Agency and MBS experience preferred PNC will not ... quality customer service with respect to client inquiries, transaction support , reporting and database management. + Executing assigned responsibilities...Series 7 and 63 within 120 days of employment. Fixed Income - SIE, Series 7 and… more
- TD Bank (New York, NY)
- …Improvement. + Conduct regular reviews of surveillance alerts across FX, Fixed Income , Commodities, Exchange-Traded Products, and Electronic Communications ... seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to develop and build...a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work… more
- TD Bank (New York, NY)
- …designations such as FINRA Certified Compliance Officer Program + Basic knowledge of Equities, Fixed Income and FX is required + Knowledge of the US markets ... team is looking for Vice President to join the Trade Surveillance team focused on Communications. The VP Compliance...Markets, as well as trading in Equities, Options, Futures, Fixed Income products and FX and Commodities.… more
- TD Bank (New York, NY)
- …surveillance patterns. + Knowledge of financial products, including Equities, Options, Commodities, Fixed Income , and FX. **General Job Description** The VP ... including identifying and disseminating regulatory developments to businesses they support , maintaining Compliance policies, managing complaints and regulatory filings,… more
- ManpowerGroup (New York, NY)
- …within a middle-office or operational role + Experience with asset management, particularly in fixed income asset classes, CLOs, and bank loans, is preferred + ... in the financial services industry, is seeking a Securities Operations Analyst - TRADE /Finance to join their team. As a Securities Operations Analyst - TRADE… 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 ... including the front office teams as well as the support functions including Technology and Operations * Build relationships...in the discussion * Gain an understanding of new trade surveillance modules and surveillance tools * Keep current… more
- TD Bank (New York, NY)
- …President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and Commodities, Equities Options and ... including the front office teams as well as the support functions including Technology and Operations + Build relationships...in the discussion + Gain an understanding of new trade surveillance modules and surveillance tools + Keep current… more