- MUFG (New York, NY)
- …of compliance with a focus on advisory and policy development. + 5+ years of Fixed Income Compliance experience + Strong knowledge of FINRA, SEC, NFA and ... details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who… more
- Citigroup (New York, NY)
- …+ Preferably experience in building real-time bond trading platform + Knowledge of Fixed Income instruments, particularly corporate bonds and RFQ workflows + ... help define operating standards and processes + Serve as advisor or coach to new or lower level analysts...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Citigroup (New York, NY)
- …systems + Experience in building real-time bond trading platform + Knowledge of Fixed Income instruments, particularly corporate bonds and RFQ workflows + Strong ... thinking to define issues and develop innovative solutions + Serve as advisor or coach to mid-level developers and analysts, allocating work as necessary… more
- City National Bank (New York, NY)
- …all required account documentation is collected and completed. * For Directed Fixed Income portfolios, monitor for corporate and municipal bond concentrations ... *FINANCIAL ADVISOR SENIOR* WHAT IS THE OPPORTUNITY? The Senior...review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while… more
- Insight Global (Norwalk, CT)
- …including fixed indexed annuities and managed money solutions. Ensure compliance with industry regulations and uphold the highest ethical standards. We are ... Job Description Position Overview: We are seeking an experienced and results-driven Financial Advisor to join our dynamic sales team. This in-person role is ideal… more
- Deloitte (New York, NY)
- …practices, we can assist with the complex tax and reporting needs of large portfolios of fixed income investments. Work You'll Do As a Tax Senior in this group, ... accounting, finance, MIS, or related field required + Demonstrated practical knowledge in fixed income financial products, income tax principles, debt… more
- TD Bank (New York, NY)
- …Improvement. + Conduct regular reviews of surveillance alerts across FX, Fixed Income , Commodities, Exchange-Traded Products, and Electronic Communications ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is committed to providing fair… more
- Mizuho Corporate Bank (New York, NY)
- …and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. ... Liaise with Front Office and clients directly + Review monthly Americas Legal Compliance Dept. (ALCD) exceptions for new onboarding remediation + Adhere to internal… more
- Citigroup (Jersey City, NJ)
- …compliance groups to address information barrier issues, trading in equities and fixed income , employee personal trading and various regulatory inquiries. + ... Serves as a compliance risk officer for the Independent Compliance...information outside of the United States. **Responsibilities:** + Key advisor to business groups (Investment Banking Advisory and Capital… more
- Neuberger Berman (New York, NY)
- …assets (as of March 31, 2025) across a range of strategies-including equity, fixed income , quantitative and multi-asset class, private equity and hedge funds-on ... support and serve as a trusted resource for clients and an experienced Wealth Advisor Team. The Client Associate enhances the client experience by assisting with the… more