- Neuberger Berman (New York, NY)
- …assets (as of June 30, 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 managing over $2b AUM. The Client Associate enhances the client experience… more
- 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)
- …+ Preferably experience in building real-time bond trading platform + Knowledge of Fixed Income instruments, particularly corporate bonds and RFQ workflows + ... 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
- Citigroup (New York, NY)
- …systems + Experience in building real-time bond trading platform + Knowledge of Fixed Income instruments, particularly corporate bonds and RFQ workflows + Strong ... thinking to define issues and develop innovative solutions + Serve as advisor or coach to mid-level developers and analysts, allocating work as necessary… more
- City National Bank (New York, NY)
- …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
- 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:** $150,000 - $185,000 USD TD is committed to providing fair… 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 Tax Senior in this group, ... accounting, finance, MIS, or related field required + Demonstrated practical knowledge in fixed income financial products, income tax principles, debt… more
- JPMorgan Chase (New York, NY)
- …is a division within JP Morgan Asset Management focused on providing customized fixed income solutions to both domestic and multinational corporations, as well ... Asset Management Program Associate - Global Liquidity (Internal Client Advisor ) you will be responsible for partnering with 2-3...and external clients + Demonstrates a working knowledge of fixed income investment products + Bachelor degree… more
- Mizuho Corporate Bank (New York, NY)
- …management and reporting for non-financial risks across the Firms Front Office Divisions ( Fixed Income , Equities, Investment Banking.) + Be a trusted advisor ... or master's degree + 5+ years of risk management, compliance , or audit experience desirable and/or direct operations /...span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX,… more
- JPMorgan Chase (New York, NY)
- …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
- Citigroup (New York, NY)
- …and equity issuance, including Initial Public Offerings (IPOs), secondary offerings, and fixed income deals. + **Independent Oversight and Challenge:** Provide ... transactions. **Key Responsibilities:** + **Strategic Risk Leadership:** Act as a key advisor to the Equity and Debt Commitment Council and senior management on… 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 compliance risk officer for the Independent Compliance...information outside of the United States. **Responsibilities:** + Key advisor to business groups (Investment Banking Advisory and Capital… 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. ... Liaise with Front Office and clients directly + Review monthly Americas Legal Compliance Dept. (ALCD) exceptions for new onboarding remediation + Adhere to internal… 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. ... Legal, Compliance , and other functions, serving as a trusted advisor and providing constructive challenge and oversight of resilience-related plans and… 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. ... Legal, Compliance , and other functions, serving as a trusted advisor and providing constructive challenge and oversight of resilience-related plans and… 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. ... thinking across services, processes, and systems. + Serve as a trusted advisor , providing constructive, reviews and challenges of business plans. + Continuity… more
