- 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
- SMBC (Jersey City, NJ)
- … alerts and exception reports covering range of risks and products (equities, fixed income , FX/treasury services, futures, swaps and other derivatives); + ... risks and issues to SMBC and the Global Compliance Senior Management. Additionally, the SMBC Compliance Department works closely...and risks of the KYC Department. The CPAD Market Surveillance team performs centralized trade surveillance for… 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
- 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