- 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
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... provide compliance advisory services primarily for Fixed Income securities, including corporate bonds, convertible...deadlines are achieved. + Work with business partners (ie, Surveillance , IT, Operations etc.) to develop and enhance systems,… 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
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for an Associate Fixed Income Analyst or Fixed Income Analyst to join our Structured Product Fixed Income team. ... In this role, you'll conduct fundamental research, surveillance , and analysis on the CMBS (Commercial Mortgage Backed...a minimum of 2 years of relevant experience in fixed income research, trading, strategy, portfolio management,… 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
- 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
- Wells Fargo (New York, NY)
- …risk-based Surveillance tools + Experience with Trading + Strong fixed income , currencies, and commoditiesproduct expertise + Excellent communication skills ... Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance . Learn more about our career areas and lines of business at… 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
- Thrivent Financial (Appleton, WI)
- …financial services industry products (including life and annuities, mutual funds, equity, fixed income , options, margin, advisory and related product lines ... Fully qualified, senior level principal position is responsible for the...level principal position is responsible for the supervision and surveillance of the firm's insurance, securities, and investment advisory… 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