- Citizens (New York, NY)
- …corporate finance, equity research, and sales and trading. Job Description We are seeking a Compliance Officer for our Fixed Income Sales & Trading team. ... 7 required; Series 24 and 57 preferred. + 2 to 5 years' experience in Fixed Income Sales & Trading compliance at a FINRA registered broker dealer. + In-depth… more
- BlackRock (New York, NY)
- …The Customized Core and Short Duration team within BlackRock's Fundamental Fixed Income platform is seeking a portfolio manager to assist with this $90bn ... book of business. These portfolios invest across the spectrum of fixed income assets including government bonds, investment grade and high yield credit, Agency… 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 ... Ideal candidate will assist in the implementation, maintenance and administration of the Fixed Income compliance program. Coordinate and performs risk… more
- Citigroup (New York, NY)
- …+ Bachelor's degree/University degree or equivalent experience + Master's degree preferred The Fixed Income (FI) Electronic Trading Technology team is seeking a ... The Applications Development Senior Group Manager is a senior management level position responsible...to develop service oriented applications + Knowledge of any Fixed income financial products (eg Rates, Currencies,… more
- Citigroup (Getzville, NY)
- The Securities & Derivatives Group Manager is a senior management level position responsible for accomplishing results through the management of a team or department ... operations and end results + Assist with overseeing the risk control environment, compliance efforts to follow policies and procedures and keep abreast of Citi's… more
- Aflac (New York, NY)
- …+ Minimum 10 years of experience in Insurance Industry or Asset Management Investments Compliance ( Fixed Income a plus) + MBA, Compliance ... VP, Investment Compliance Manager The Company: Aflac Asset...generates approximately $3.5 billion a year in net investment income . As of year-end 2022, Aflac's total general account… more
- TD Bank (New York, NY)
- …**Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to ... Improvement. + Conduct regular reviews of surveillance alerts across FX, Fixed Income , Commodities, Exchange-Traded Products, and Electronic Communications… more
- BlackRock (New York, NY)
- …to efficiently deliver customized client analysis and reporting. + Support the lead Portfolio Manager in managing fixed income LDI portfolios within risk ... operational discipline, and risk management. The group encompasses BlackRock's Fixed Income (Fundamental, Municipals and Financial Institutions, and… more
- TD Bank (New York, NY)
- …for Vice President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and Commodities, Equities Options and ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- City National Bank (New York, NY)
- …Strong understanding of variety of financial products and derivatives including equities, fixed income , mutual funds, exchange traded funds, etc. * Understanding ... INVESTMENT ANALYTICS & TRADE MONITORING MANAGER *ABOUT US* City National Rochdale (CNR) partners...Analytics and Trade Monitoring will establish and develop the Compliance Trade Oversight Program by leading, configuring, and overseeing… more
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