- US Bank (Charlotte, NC)
- …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
- 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