- 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
- PNC (Chicago, IL)
- …Registered Investment Advisor (RIA) that specializes in managing taxable fixed income portfolios for institutional clients. Investment strategies range from ... 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… more
- Citigroup (Getzville, NY)
- …operations and end results + Assist with overseeing the risk control environment, compliance efforts to follow policies and procedures and keep abreast of Citi's ... clients and internal operations groups + Serve as an advisor and coach to new or junior level staff...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Bank of America (New York, NY)
- …experience managing a successful book of business. + Expertise in trading equities, fixed income , derivatives, and alternative assets as well as complex trading ... Brokerage Services Financial Advisor New York, New York **To proceed with...the Merrill Lynch Global Wealth and Investment Branch Office Compliance Manual. This position is subject to SAFE Act… more
- Neuberger Berman (PA)
- …client assets (as of September, 2025) across a range of strategies-including equity, fixed income , quantitative and multi-asset class, private equity and hedge ... The Advisor Consultant is responsible for creating new relationships...Specialists, ETF Strategists, and other members of distribution, legal, compliance , and investments + Maintain knowledge of Neuberger Berman… more
- Fannie Mae (Washington, DC)
- …to one or more areas within credit, interest rate, counterparty credit risk, and/or fixed income valuation in the financial services industry * Adept at ... role. * THE IMPACT YOU WILL MAKE The* Model Risk Business Process QA Reviewer - Advisor *role will offer you the flexibility to make each day your own, while working… more
- City National Bank (West Hollywood, CA)
- …all required account documentation is collected and completed. * For Directed Fixed Income portfolios, monitor for corporate and municipal bond concentrations ... *FINANCIAL ADVISOR SENIOR* WHAT IS THE OPPORTUNITY? The Senior...review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while… more
- CIBC (Chicago, IL)
- …Have a strong understanding of global financial markets, including equities, fixed income , and alternative investments. + **Analytical expert:** Demonstrate ... visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What you'll be doing** As a **Wealth Advisor ** in CIBC Wealth Management's Chicago office, you will play a… more
- First Horizon Bank (Atlanta, GA)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... responsible for completing audit engagement assignments with minimal supervision. The Audit Sr. Advisor is expected to: + understand and identify the full range of… 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 ... . About this Position Reporting to the Broker/Dealer Chief Compliance Officer, the role is responsible for ensuring ...+ Demonstrated ability to establish yourself as a trusted advisor to colleagues at all levels of seniority +… more
- JPMorgan Chase (Boston, MA)
- …large and complex Asset Managers/Owners and/or Investment Advisors + Solid understanding of Fixed Income and Equity markets + Strong knowledge of the Investment ... great results for clients. As an Operations Post Trade Compliance Associate within the Post Trade Compliance ...client relationships, managing complex 40 Act and Pension and/or Advisor client requests independently + Plan and strategize the… more
- Vanguard (Minneapolis, MN)
- …you will exhibit the highest-producing sales skills and in-depth product knowledge of fixed income strategies, and other asset classes as you navigate the ... of several of the largest and most sophisticated wirehouse advisor teams in the Midwest area. This role is...investors. Vanguard also sees an opportunity in terms of fixed income where we have a strong… more
- Robert Half Finance & Accounting (Englewood, CO)
- …opening. This role is responsible for the timely and accurate execution of equity, fixed income , and ETF trades across client portfolios. The Execution Trader ... wealth management environment. Key Responsibilities: + Execute trades across equities, ETFs, fixed income , and mutual funds on behalf of portfolio managers… more
- Deloitte (Nashville, TN)
- …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
- Neuberger Berman (New York, NY)
- …partner and escalation point for all Investment Teams, including Equities, Fixed Income , Loans, Liquidity, and Multi-Asset strategies across workflows, ... client assets (as of September, 2025) across a range of strategies-including equity, fixed income , quantitative and multi-asset class, private equity and hedge… more
- Raymond James Financial, Inc. (Baltimore, MD)
- …proprietary models for the economy (eg, recessionary models), equities (valuation models) and fixed income (levels and spreads) + Contributes regularly to the ... classes that include equities (US, sectors, international, developed, and emerging markets), fixed income (sectors), commodities and alternatives. + A deep… more
- JPMorgan Chase (Palo Alto, CA)
- …recommendations, propose firm offerings and execute equity trades, mutual fund orders, fixed income trades and private investments + Provide support across ... client meetings + Serve as a liaison between the Financial Advisor team, branch management, compliance and various other business units throughout the firm +… more
- JPMorgan Chase (Houston, TX)
- …recommendations, propose firm offerings and execute equity trades, mutual fund orders, fixed income trades and private investments + Provide support across ... client meetings + Serve as a liaison between the Financial Advisor team, branch management, compliance and various other business units throughout the firm +… more
- First Horizon Bank (Morristown, TN)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... Management Client Specialist will be actively involved in supporting advisor (s) through a full service platform. Assists in achievement...etc. * Serves as liaison and between sales team, compliance , and other business lines throughout the firm *… more
- First Horizon Bank (Tampa, FL)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... + Expected to be the expert level "market moving" advisor with ability to handle the most challenging, sensitive...legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance … more