- Marex (New York, NY)
- …services. For more information visit www.marex.com Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... real-time compliance advisory services to the Marex Capital Markets Inc. ("MCMI") fixed income business unit(s). Such guidance will be tailored to resolving… more
- Crdit Agricole CIB (New York, NY)
- …Compliance / Financial Security Job title Head of Monitoring & Surveillance Compliance Officer - Director Contract type Permanent Contract Expected start date ... as well as overseeing the Firm's data loss prevention compliance framework. The individual will also be the key...Microsoft Excel, Word and PowerPoint Working knowledge of all Fixed Income / Swap Products Languages Proficiency… more
- United Nations (New York, NY)
- …managed in-house. Asset classes under management comprise of global equities, fixed income , foreign exchange, private equity, real estate, infrastructure, ... (UNJSPF). The incumbent will report to the Senior Investment Officer (SIO) of the Asia Pacific Team, who reports...basis. *Ensures that all of the investments are in compliance with OIM's investment and policy guidelines. *Conducts portfolio… more
- Mizuho Bank, Ltd. (New York, NY)
- …reporting and controls Solid understanding of key financial products particularly equities, fixed income and derivatives instruments Strong experience in one of ... team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and...key product areas covered by the team (eg, equities, fixed income , derivatives, etc.) Comfortable working with… more
- Soros Fund Management (New York, NY)
- …of strategies and asset classes, including public and private equity and credit, fixed income , foreign exchange, and alternative assets. Our teams operate with ... needs of various Soros Family clients. The Chief Financial Officer (CFO) plays a critical role as a fiduciary...of and negotiation w/ vendors (insurance, etc.). Governance & Compliance : Ensure ethical and regulatory compliance across… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... real-time compliance advisory services to the Marex Capital Markets Inc. ("MCMI") fixed income business unit(s). Such guidance will be tailored to resolving… 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 ... Experience in providing regulatory or compliance advise in connection with fixed income sales and trading activities Functional knowledge of the US Fixed … more
- Scotiabank (New York, NY)
- …forums and internal meetings. + Provide compliance support for equities and fixed income sales and trading businesses by advising on the application of ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary...acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...for the markets advisory team with focus on the fixed income and municipal finance sales and… more
- JPMorgan Chase (New York, NY)
- …Wealth Management clients. In this role you will also focus on equities and fixed income trading Compliance matters. Job Responsibilities + Maintain policies ... status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the...standards which set forth the requirements for equities and fixed income trading regarding the management and… more
- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- Marex (New York, NY)
- …Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income , Listed Options, Structured Products trading activities as well as ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the subject matter expert to… more
- Mizuho Corporate Bank (New York, NY)
- …and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. ... an effective control environment. First Line Risk & Control Officer The First Line Control Officer is...to support non-financial risk Regulatory exams, Audit reviews and Compliance Testing in the capacity of SME and /… more
- SMBC (New York, NY)
- …continuous process improvement practices with Middle and Back office processes specific to derivatives, fixed income and FX * Prior banking, Swap Dealer related ... Description** The SMBC Capital Markets, Inc. Capital Market Business Control Officer is a business-aligned change agent and risk management individual contributor.… more
- Mizuho Corporate Bank (New York, NY)
- …and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. ... and implication in the onboarding process + Understand policy changes socialized by Compliance and implications to the onboarding process + Manage end to end… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious ... USA ("SCUSA") Futures Commission Merchant ("FCM"), and Security-Based Swap Dealer Chief Compliance Officer in: + the business as usual execution of the CFTC Swap… more
- TD Bank (New York, NY)
- …surveillance team. Preferred 3-5 years of experience in surveillance of either Fixed Income Products, Foreign Exchange and Commodities, Equities Options and ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- TD Bank (New York, NY)
- …communications surveillance tools (eg, Behavox). + Deep understanding of trading in equities, fixed income , FX, and derivatives markets, as well as market abuse ... Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office...regulated environment + Deep understanding of trading in equities, fixed income , FX, and derivatives markets, as… 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 ... the "Trust Companies") are seeking a skilled and experienced Trust Investment Oversight Officer to join our team. The Trust Companies support the Private Wealth… 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 ... countries. The Tax Department reports to the Chief Financial Officer and is in charge of tax structuring, tax... and is in charge of tax structuring, tax compliance , tax planning, tax accounting, tax reporting, and ad-hoc… more
