- 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
- Citigroup (Getzville, NY)
- …operations and end results + Assist with overseeing the risk control environment, compliance efforts to follow policies and procedures and keep abreast of Citi's ... clients and internal operations groups + Serve as an advisor and coach to new or junior level staff...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… 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
- 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:** $150,000 - $185,000 USD TD is committed to providing fair… 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
- JPMorgan Chase (New York, NY)
- …is a division within JP Morgan Asset Management focused on providing customized fixed income solutions to both domestic and multinational corporations, as well ... Asset Management Program Associate - Global Liquidity (Internal Client Advisor ) you will be responsible for partnering with 2-3...and external clients + Demonstrates a working knowledge of fixed income investment products + Bachelor degree… more
- Mizuho Corporate Bank (New York, NY)
- …management and reporting for non-financial risks across the Firms Front Office Divisions ( Fixed Income , Equities, Investment Banking.) + Be a trusted advisor ... or master's degree + 5+ years of risk management, compliance , or audit experience desirable and/or direct operations /...span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX,… more
- JPMorgan Chase (New York, NY)
- …recommendations, propose firm offerings and execute equity trades, mutual fund orders, fixed income trades and private investments + Provide support across ... client meetings + Serve as a liaison between the Financial Advisor team, branch management, compliance and various other business units throughout the firm +… more