- TD Bank Group (New York, NY)
- …drive Improvement. Conduct regular reviews of surveillance alerts across FX, Fixed Income , Commodities, Exchange-Traded Products, and Electronic Communications ... for evaluating the effectiveness of the firm's surveillance framework across trade and communications monitoring. The incumbent will report to the Director… more
- HSBC (New York, NY)
- …areas including corporate credit and lending, capital markets (eg FX, Fixed Income , treasury ), specialized lending, global trade finance and global payment ... / money markets, options, swaps, structured derivatives, foreign exchange, commodities, equities, fixed income bonds, repo, custody and clearing. Global Payment… more
- HSBC (New York, NY)
- …/ money markets, options, swaps, structured derivatives, foreign exchange, commodities, equities, fixed income bonds, repo, custody and clearing, as well as ... the supporting functions (eg, Market Operation, Trade Surveillance, Traded Risk and Product Control )....a pay range between $140,000.00 and $207,000.00 The final fixed pay offer will depend on the candidate and… more
- Citigroup, Inc. (Jersey City, NJ)
- …We support an extensive range of Capital Markets products and services including Fixed Income (FX, Rates, Credit, Muni, Cash and Derivatives) where Citi ... and have significant impact across the lifecycle of a trade . We partner extensively with a range of internal...projections at Tri Party and Central Banks supporting the fixed income and equities finance desks. This… more
- DRW (Chicago, IL)
- …Canada, Europe, and Asia, we trade a variety of asset classes including Fixed Income , ETFs, Equities, FX, Commodities and Energy across all major global ... as it becomes available *Gain mastery of the firm's proprietary trade capture, inventory management, treasury management, and risk management systems necessary… more
- CAIS (New York, NY)
- …within a Capital Markets environment, preferably with direct exposure to structured notes, fixed income products, and trading. Strong understanding of SEC and ... industry-leading technology, operational efficiency, and world-class client service throughout the pre- trade , trade , and post- trade experience. CAIS supports… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking &… more
- Citigroup, Inc. (New York, NY)
- …Prime Finance, or Delta One trading experience required across either equity or fixed income products. Proficiency with Bloomberg, MS Excel modelling & macro ... optimize our clients' securities lending portfolio performance. Adhere to risk & control guidelines specifically as it relates to counterparty credit limits, best… more
- eTeam, Inc. (Salt Lake City, UT)
- … trade lifecycle and process flows of RIA initiated investment products: equities, fixed income , mutual funds, retirement products, etc. Partner with a teams ... growth with a key focus on the risk and control around RIA initiated investment products OUR IMPACT RIA...enhance the firm's assets and its reputation. For every trade agreed, every new product launched or market entered,… more
- First Horizon (New Orleans, LA)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... complex to complex trusts, estate accounts and sales efforts while generating income through effective control and administration of assigned duties within… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: Marex is seeking a Fixed Income Operations Analyst who will support the ... responsible for supporting full life cycle events for all fixed income products traded by the various...tasks(s). The team places a strong emphasis on its control framework ensuring controls are followed and always evaluated… more
- TD Bank (New York, NY)
- …communications surveillance tools (eg, Behavox). + Deep understanding of trading in equities, fixed income , FX, and derivatives markets, as well as market abuse ... a global role, the incumbent will work with the Trade and Communications Surveillance leads across geographies (US, Canada,...regulated environment + Deep understanding of trading in equities, fixed income , FX, and derivatives markets, as… more
- ManpowerGroup (New York, NY)
- …+ Wash trades, etc. + Exposure to multiple asset classes, especially: + Fixed IncomeOTC fixed income instruments, RFQs, or dealer-to-dealer workflows ... the Job?** This is a high-visibility role supporting the CIB Control Management as a ** Trade Surveillance Consultant** . Partner with team in identifying and… more
- TD Bank (New York, NY)
- …settlements, new accounts, reference data and change delivery to support the growing Fixed Income business **Qualifications:** + 5+ years' experience with MBS ... our global client base. They provide operational support and control functions across the trade lifecycle. The...on the customer at every point of contact. The Fixed Operations team strives to create efficiency, improve client… more
- TD Bank (New York, NY)
- …Improvement. + Conduct regular reviews of surveillance alerts across FX, Fixed Income , Commodities, Exchange-Traded Products, and Electronic Communications ... for evaluating the effectiveness of the firm's surveillance framework across trade and communications monitoring. The incumbent will report to the Director… more
- TD Bank (New York, NY)
- …President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and Commodities, Equities Options and ... impacts + Maintain a culture of risk management and control , supported by effective processes in alignment with risk...in the discussion + Gain an understanding of new trade surveillance modules and surveillance tools + Keep current… more
- TD Bank (New York, NY)
- … surveillance team. Preferred 3-5 years of experience in surveillance of either Fixed Income Products, Foreign Exchange and Commodities, Equities Options and ... impacts * Maintain a culture of risk management and control , supported by effective processes in alignment with risk...in the discussion * Gain an understanding of new trade surveillance modules and surveillance tools * Keep current… more
- SMBC (New York, NY)
- …of Liquidity/ Model/ Valuation reserves and independent price testing (IPV) for fixed income securities, structured products and derivatives. * Effectively ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...function. * Strong knowledge of global markets products including, fixed income , structured debt and derivatives trading… more
- Citigroup (Jersey City, NJ)
- …and compliance groups to address information barrier issues, trading in equities and fixed income , employee personal trading and various regulatory inquiries. + ... team. The ICRM Global Surveillance platform encompasses a number of Surveillance/ Control related portfolios including trade surveillance, e-communications and… more
- Scotiabank (Houston, TX)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... Manager, Risk & Control , US Internal Control **Requisition ID:**...an important bridge to this key global market for trade and investment flows across the Americas and the… more
