- Citizens (San Francisco, CA)
- …corporate finance, equity research, and sales and trading. Job Description We are seeking a Compliance Officer for our Fixed Income Sales & Trading team. ... 7 required; Series 24 and 57 preferred. + 2 to 5 years' experience in Fixed Income Sales & Trading compliance at a FINRA registered broker dealer. + In-depth… more
- Charles Schwab (Phoenix, AZ)
- …solutions, to both retail and registered investment advisor (RIA) clients. Within WAS, the Senior Manager , Fixed Income Offer Management will be a part of ... growing a key revenue stream for Schwab. The **Senior Manager , Fixed Income Offer Management**...+ Partnering closely with sales, service, technology, marketing, digital, compliance , and legal counsel to plan and execute important… more
- BlackRock (New York, NY)
- …The Customized Core and Short Duration team within BlackRock's Fundamental Fixed Income platform is seeking a portfolio manager to assist with this $90bn ... book of business. These portfolios invest across the spectrum of fixed income assets including government bonds, investment grade and high yield credit, Agency… more
- BMO Financial Group (New York, NY)
- …arrangement - 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 ... Ideal candidate will assist in the implementation, maintenance and administration of the Fixed Income compliance program. Coordinate and performs risk… more
- Citigroup (New York, NY)
- …+ Bachelor's degree/University degree or equivalent experience + Master's degree preferred The Fixed Income (FI) Electronic Trading Technology team is seeking a ... The Applications Development Senior Group Manager is a senior management level position responsible...to develop service oriented applications + Knowledge of any Fixed income financial products (eg Rates, Currencies,… more
- PNC (Cleveland, OH)
- …valued and have an opportunity to contribute to the company's success. As a Fixed Income Quantitative Analyst within the PNC Capital Advisors organization, you ... is a Registered Investment Advisor (RIA) that specializes in managing taxable fixed income portfolios for institutional clients. Investment strategies range from… more
- Citigroup (Getzville, NY)
- The Securities & Derivatives Group Manager is a senior management level position responsible for accomplishing results through the management of a team or department ... operations and end results + Assist with overseeing the risk control environment, compliance efforts to follow policies and procedures and keep abreast of Citi's… more
- RTX Corporation (Cedar Rapids, IA)
- …Flight Management and Controls department as a Product Owner for our military Fixed Wing programs. These programs include E-2D, C-130, AWACS, HC-144, KC-135, P-3, ... be onsite in Cedar Rapids, Iowa. As a product owner for FM&C components on Fixed Wing programs, you will collaborate closely with the various platform teams and our… more
- Zayo (Denver, CO)
- …Director of Global Income Tax - US, our Income Tax Senior Manager will manage the compliance and reporting process for all US jurisdictions, encompassing ... healthcare and other large enterprises. Zayo is seeking an Income Tax Senior Manager to join our...jurisdictions. + Manage the relationship with our co-sourced tax compliance partner. + Review income tax workpapers… more
- KeyBank (Brooklyn, OH)
- **Location:** 4900 Tiedeman Road, Brooklyn Ohio The Sr Compliance Manager plays a critical role in independently measuring, monitoring, and assessing risks ... the risk management of a diverse range of investment products-including equities, fixed income , alternative funds, and managed solutions-offered by Key Private… more
- Aflac (New York, NY)
- …+ Minimum 10 years of experience in Insurance Industry or Asset Management Investments Compliance ( Fixed Income a plus) + MBA, Compliance ... VP, Investment Compliance Manager The Company: Aflac Asset...generates approximately $3.5 billion a year in net investment income . As of year-end 2022, Aflac's total general account… more
- TD Bank (New York, NY)
- …**Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to ... Improvement. + Conduct regular reviews of surveillance alerts across FX, Fixed Income , Commodities, Exchange-Traded Products, and Electronic Communications… more
- BlackRock (New York, NY)
- …to efficiently deliver customized client analysis and reporting. + Support the lead Portfolio Manager in managing fixed income LDI portfolios within risk ... operational discipline, and risk management. The group encompasses BlackRock's Fixed Income (Fundamental, Municipals and Financial Institutions, and… more
- Scotiabank (Dallas, TX)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... Compliance Testing Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 99,790.00 - 190,995.00 _Please note… more
- TD Bank (New York, NY)
- …for Vice President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and Commodities, Equities Options and ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- City National Bank (New York, NY)
- …Strong understanding of variety of financial products and derivatives including equities, fixed income , mutual funds, exchange traded funds, etc. * Understanding ... INVESTMENT ANALYTICS & TRADE MONITORING MANAGER *ABOUT US* City National Rochdale (CNR) partners...Analytics and Trade Monitoring will establish and develop the Compliance Trade Oversight Program by leading, configuring, and overseeing… more
- BlackRock (New York, NY)
- …funds and other pooled investment vehicles, and the industry-leading iShares(R) ETFs. BlackRock's Fixed Income team manages more than $1 trillion in global ... fixed income assets across index, active long-only,...Assets Portfolio Management Team is searching for a Portfolio Manager to assist in managing the securitized allocations for… more
- Raymond James Financial, Inc. (Memphis, TN)
- …and resolve complex issues. **Essential Duties and Responsibilities** + Assists the Capital Markets Fixed Income Compliance team with managing their core ... experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and managing an assigned compliance… more
- T. Rowe Price (Owings Mills, MD)
- …experience, we provide investment solutions and a broad range of equity, fixed income , and multi-asset capabilities to individuals, advisors, institutions, and ... to you . Role Summary Partners with internal clients to implement strategic compliance initiatives for T. Rowe Price's proprietary and subadvised 40 Act products… more
- Charles Schwab (Westlake, TX)
- …Treasury Capital Markets (TCM) organization, which includes ALM and fixed income investing. Reporting to the Senior Manager , Balance Sheet Forecasting and ... for Capital Stress Test scenarios for CCAR and DFAST compliance . You'll accurately model & analyze all balance sheet...an emphasis on a mix of the following: ALM, fixed income analytics, capital markets, interest rate… more