- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... real-time compliance advisory services to the Marex Capital Markets Inc. ("MCMI") fixed income business unit(s). Such guidance will be tailored to resolving… more
- Citigroup (Queens, NY)
- …the Asset Allocation and Investment strategy for all the International Pension Plans. The Fixed Income Analyst will have as primary responsibility to analyze ... Fixed Income portfolios and monitor the LDI...Income Analyst will report to the Chief Investment Officer (CIO) of the US Pension Investments and will… more
- Scotiabank (New York, NY)
- …forums and internal meetings. + Provide compliance support for equities and fixed income sales and trading businesses by advising on the application of ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary...acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...for the markets advisory team with focus on the fixed income and municipal finance sales and… more
- JPMorgan Chase (New York, NY)
- …Wealth Management clients. In this role you will also focus on equities and fixed income trading Compliance matters. Job Responsibilities + Maintain policies ... status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the...standards which set forth the requirements for equities and fixed income trading regarding the management and… more
- TD Bank (New York, NY)
- …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office...tools (eg, Behavox). + Understanding of trading in equities, fixed income , FX, and derivatives markets, as… more
- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- Marex (New York, NY)
- …Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income , Listed Options, Structured Products trading activities as well as ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the subject matter expert to… 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. ... an effective control environment. First Line Risk & Control Officer The First Line Control Officer is...to support non-financial risk Regulatory exams, Audit reviews and Compliance Testing in the capacity of SME and /… more
- SMBC (New York, NY)
- …continuous process improvement practices with Middle and Back office processes specific to derivatives, fixed income and FX * Prior banking, Swap Dealer related ... Description** The SMBC Capital Markets, Inc. Capital Market Business Control Officer is a business-aligned change agent and risk management individual contributor.… more