- 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 (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
- Neuberger Berman (Dallas, TX)
- …business development skills; existing Cross-Channel relationships a plus + Strong fixed income /ETF background with a fundamental understanding of alternatives ... The Cross-Channel Advisor Consultant is responsible for furthering the growth...March 31, 2025) across a range of strategies-including equity, fixed income , quantitative and multi-asset class, private… more
- Bank of America (Los Angeles, CA)
- …**Key Skills:** + Client Investments Management + Expertise in trading equities, fixed income , derivatives, and alternative assets as well as complex ... Brokerage Services Financial Advisor Los Angeles, California **Job Description:** Merrill Lynch...the Merrill Lynch Global Wealth and Investment Branch Office Compliance Manual. This position is subject to SAFE Act… more
- City National Bank (Walnut Creek, CA)
- …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
- Fannie Mae (Washington, DC)
- …to one or more areas within credit, interest rate, counterparty credit risk, and/or fixed income valuation in the financial services industry * Skilled in the ... stress testing. *THE IMPACT YOU WILL MAKE* The *Model Risk Reporting Analyst - Advisor *role will offer you the flexibility to make each day your own, while working… more
- Fannie Mae (Washington, DC)
- …to one or more areas within credit, interest rate, counterparty credit risk, and/or fixed income valuation in the financial services industry * Expertise in ... *THE IMPACT YOU WILL MAKE* The Model Validation - Advisor role will offer you the flexibility to make...processes, and changes in the financial services industry, regulatory compliance , or other external environmental factors. * Work closely… more
- Fannie Mae (Washington, DC)
- …to one or more areas within credit, interest rate, counterparty credit risk, and/or fixed income valuation in the financial services industry* * *Expertise in ... **THE IMPACT YOU WILL MAKE* The Model Validation - Advisor role will offer you the flexibility to make...processes, and changes in the financial services industry, regulatory compliance , or other external environmental factors.* * *Work closely… 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 function/business/product compliance risk officer for Independent Compliance ...interpretation on internal policies and procedures **Responsibilities:** + Key advisor to business groups (IB Advisory and Capital Markets)… more
- Deloitte (Nashville, TN)
- …practices, we can assist with the complex tax and reporting needs of large portfolios of fixed income investments. Work You'll Do As a Manager in this group, you ... in accounting, finance, MIS, or related field required + Practical knowledge in fixed income financial products, income tax principles, debt instruments… more