- MUFG (New York, NY)
- …of compliance with a focus on advisory and policy development. + 5+ years of Fixed Income Compliance experience + Strong knowledge of FINRA, SEC, NFA and ... details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who… more
- Citigroup (New York, NY)
- …around team environment + Willingness to learn, self-motivated + Experience in Fixed income business knowledge/understanding is preferred + Experience in ... while adhering to Service Level Agreements. + Acts as advisor or coach to new or lower level analysts....and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Citigroup (Jersey City, NJ)
- …compliance groups to address information barrier issues, trading in equities and fixed income , employee personal trading and various regulatory inquiries. + ... Serves as a function/business/product compliance risk officer for Independent Compliance ...interpretation on internal policies and procedures **Responsibilities:** + Key advisor to business groups (IB Advisory and Capital Markets)… more
- Deloitte (New York, NY)
- …practices, we can assist with the complex tax and reporting needs of large portfolios of fixed income investments. Work You'll Do As a Manager in this group, you ... in accounting, finance, MIS, or related field required + Practical knowledge in fixed income financial products, income tax principles, debt instruments… more
- Citigroup (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 ... stakeholders such as Front Office Sales and Trading Desks, Compliance , Legal, Finance and HR; alongside having significant interaction...projections at Tri Party and Central Banks supporting the fixed income and equities finance desks. This… more
- Wells Fargo (New York, NY)
- …banking; commercial real estate lending and servicing; investment banking; equity; and fixed income solutions including sales, trading, and research capabilities ... this role, you will:** + Act as a trusted advisor to Banking's leadership team, including the CAO and...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more
- Citigroup (New York, NY)
- The IT Business Lead Analyst is a senior-level position responsible within Fixed Income Electronic Trading technology team at Citigroup. We are looking for a ... to the current business environment + Interpersonal: Act as advisor or coach to new or lower level analysts...Office Trading and Pricing solutions. + Strong knowledge on Fixed Income (Credit and Rates) products and… more
- HSBC (New York, NY)
- …high and ultra-high net worth individuals and families to advise on sophisticated income and estate tax, asset protection, and generational planning needs. You will ... expertise in advising entrepreneurs, founders, and early-stage investors on income tax, wealth preservation and protection, and generational wealth transfer… more
- Neuberger Berman (New York, NY)
- …Equity, Private Credit, Specialty Finance, and others as well Finance teams, and Fixed Income trading desk to review cash needs, monitor trade maturities, ... 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… more
- Wells Fargo (New York, NY)
- …banking; commercial real estate lending and servicing; investment banking; equity; and fixed income solutions including sales, trading, and research capabilities ... this role, you will:** + Act as a trusted advisor to Banking's leadership team, including the CAO and...cross-functional areas including COO, CAO, HR, Finance, Strategy, Legal, Compliance etc. + Craft clear and compelling narratives by… more
- Wells Fargo (New York, NY)
- …banking; commercial real estate lending and servicing; investment banking; equity; and fixed income solutions including sales, trading, and research capabilities ... this role, you will:** + Act as a trusted advisor to Banking's leadership team, including the CAO and...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more
- TD Bank (New York, NY)
- …Improvement. + Conduct regular reviews of surveillance alerts across FX, Fixed Income , Commodities, Exchange-Traded Products, and Electronic Communications ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $135,000 - $190,000 USD TD is committed to providing fair… 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 ... support and serve as a trusted resource for clients and an experienced Wealth Advisor Team. The Client Associate enhances the client experience by assisting with the… more
- Citigroup (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 identify areas for improvement + Act as an advisor to new/junior staff + Appropriately assess risk when...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... The Senior Manager is a dynamic, innovative, and trusted advisor who uses data to deliver industry leading assurance...to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but… more
- Citigroup (New York, NY)
- …trade finance, trade services, structured trade products, foreign exchange, commodities, fixed income , syndicated and bilateral loans, and capital market ... client relationships by providing strategic content and advice, reaching trusted advisor status. Setting clear strategic priorities to build competitive strengths.… more
- Citigroup (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 ... of internal stakeholders such as Front Office Sales and Trading Desks, Compliance , Legal, Finance and HR; alongside having significant interaction with our external… more
- Citigroup (New York, NY)
- …Financial Product knowledge. + Understanding of Mortgage Backed Securities or other Fixed Income products. Education: Bachelor's or University Degree or ... thinking to define issues and develop innovative solutions + Serve as advisor or coach to mid-level developers and analysts, allocating work as necessary… more
- Citigroup (New York, NY)
- …We support an extensive range of Capital Markets products and services including Fixed Income (FX, Rates, Credit, Muni, Cash and Derivatives) where Citi ... range of internal stakeholders including Front Office Sales and Trading Desks, Compliance , Legal, Finance and HR; alongside having significant interaction with our… more
- Citigroup (New York, NY)
- …on cloud technologies desirable, eg Artifactory, Docker and OpenShift. + Knowledge of fixed income products, customer and broker market platforms and trading ... help define operating standards and processes + Serve as advisor or coach to new or lower level analysts...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more