- 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
- Santander US (New York, NY)
- Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global leader ... Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business which focus on… more
- TD Bank (New York, NY)
- … surveillance tools (eg, Behavox). + Deep understanding of trading in equities, fixed income , FX, and derivatives markets, as well as market abuse and ... team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This is a global role,...regulated environment + Deep understanding of trading in equities, fixed income , FX, and derivatives markets, as… 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
- 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
- First Horizon Bank (Memphis, TN)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance , reporting, and guidance for all aspects of a broker-dealer and a… more
- Neuberger Berman (New York, NY)
- …assets (as of March 31, 2025) across a range of strategies-including equity, fixed income , quantitative and multi-asset class, private equity and hedge funds-on ... compliance support to the Chief Compliance Officer and other senior members of the Legal and Compliance team +...not limited to, conducting due diligence and reviewing various surveillance reports + Type, edit and prepare correspondence while… more
- Citigroup (New York, NY)
- …functional transformation projects with preferred experience related to regulatory + Knowledge of fixed income , credit, and rates related markets and products + ... requirements, translating user needs into functional specifications and realizing senior management's vision. Responsibilities also include defining the system scope… more