- US Bank (Minneapolis, MN)
- …of applicable experience Preferred Skills/Experience - Candidate will have 7+ years of surveillance experience in fixed income , foreign exchange, derivatives ... and commodities markets - Strong analytical and communication skills. - Ability to assess the existing program for completeness and thoroughness. - Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact… more
- Citigroup (Jersey City, NJ)
- …with transparency. **Qualifications:** + 5-8 years of experience; experience in Foreign Exchange, Fixed Income Product, and Markets is preferred + Knowledge of ... other areas within Citi in a collaborative manner to provide best-in-class surveillance support. + Influences senior managerial decisions by advising,… more
- BMO Financial Group (New York, NY)
- …- 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 SEC broker-dealer ... corresponding oversight. We are looking for someone to work closely with the Fixed Income , Currencies, and Commodities ("FICC") LOBs and other internal business… more
- ManpowerGroup (New York, NY)
- …responsible for designing, implementing, and executing both automated and manual trade surveillance controls across Fixed Income , FX, Commodities, Equities, ... client, a leading financial services organization, is seeking a Senior Trade Surveillance Consultant - FICC &...Knowledge:** Deep understanding of the following instrument scopes: + Fixed Income (bonds, commercial paper, MBS/ABS) +… more
- Wells Fargo (Charlotte, NC)
- …in rates and / or equities surveillance , data types and lifecycles with fixed income , municipals, and futures a plus. + Proven track record of improving ... knowledge. + Develop and present Oversight program materials to senior management. + Provide regulatory compliance risk expertise and...Knowledge of FINRA, CFTC, NFA, FX Global Code + Surveillance exposure in fixed income ,… more
- TD Bank (New York, NY)
- …to join the trade surveillance team. Preferred 3-5 years of experience in surveillance of either Fixed Income Products, Foreign Exchange and Commodities, ... and/or escalation of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence * Provide coverage… more
- Citigroup (Tampa, FL)
- …Spread Products, Rates, FX, Equities and Commodities), sits within the Fixed Income Technology organization. Business Analyst/Project Management Specialist is ... SMaRT ( Surveillance , Monitoring and Regulatory Tool) is the Strategic...Trade workflow in Front Office, building preventative booking controls. Senior BAPM will identify opportunities for process improvement or… more
- Santander US (New York, NY)
- …Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business which focus on ... Job Function Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business which focus on… more
- BlackRock (New York, NY)
- …and other pooled investment vehicles, and the industry-leading iShares(R) ETFs. The Global Fixed Income Group (FFI) at BlackRock handles more than $1.2 trillion ... in fixed income assets across index, active, and...mortgage loans. **Key Responsibilities** + Work side-by-side with a senior originator responsible for direct origination of senior… more
- Citigroup (Jacksonville, FL)
- …skills and ability to influence others is key. Strong product knowledge of Equity, Fixed Income , FX and structured products is required. Knowledge of Rates & ... business activities. + Managing, reviewing, and approving syndicate offerings including equity, fixed income and structured products. + Assist with oversight of… more
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