- MUFG Bank, Ltd. (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
- Goldman Sachs, Inc. (Dallas, TX)
- …bank and broker-dealer. Looking for an attorney with experience providing advice regarding fixed income trading activities to address a broad range of legal ... issues that arise in connection with Goldman's US FICC ( Fixed Income , Currency and Commodities) ETF Trading...will be on the frontlines serving as a trusted advisor to the business and control-side colleagues and will… more
- PIMCO (Newport Beach, CA)
- PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed ... with direct supervisory responsibility Intermediate knowledge of global equity and fixed income markets, including bonds, equities, and derivatives Strong… more
- PIMCO (Newport Beach, CA)
- PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed ... to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Position Description We are seeking a dynamic and experienced… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …security valuations, cost basis, and gain/loss. Securities products including equities, fixed income , annuities, and options. Various investment and retirement ... which may include portfolio design, Social Security, healthcare planning, retirement income planning, long-term care, life insurance and risk management, qualified… more
- Goldman Sachs, Inc. (West Palm Beach, FL)
- …managers, private equity funds, real estate managers, public equity strategies and fixed income strategies. XIG manages globally diversified programs, targeted ... advise on over $300 billion of alternative investments, public equity strategies and fixed income strategies. HOW YOU WILL FULFILL YOUR POTENTIAL Actively… more
- First Horizon (New Orleans, LA)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... Louisiana Metropolitan market. SUMMARY The Relationship Banker is a trusted advisor who engages clients in meaningful, consultative conversations to understand their… 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
- JPMorgan Chase (New York, NY)
- …such as Control Management, Compliance , Legal, Risk and Technology. As a Global Fixed Income Business Manager Associate within the GFICC group, you will be a ... opening for an Associate Business Manager in the Global Fixed Income , Currency and Commodities (GFICC) group...trusted advisor to Business/Group Heads, assisting in identifying, escalating, and… more
- Citigroup (Getzville, NY)
- …to assess service quality and identify areas for improvement + Act as an advisor to new/junior staff + Appropriately assess risk when business decisions are made, ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Wellington (Boston, MA)
- …and span nearly all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As a private partnership ... our perspectives with those of our clients. **About the Role** **Position** The Advisor Education Marketing Strategist will bring a unique set of skills and… more
- Neuberger Berman (Dallas, TX)
- …business development skills; existing Cross-Channel relationships a plus + Strong fixed income /ETF background with a fundamental understanding of alternatives ... The Cross-Channel Advisor Consultant is responsible for furthering the growth...March 31, 2025) across a range of strategies-including equity, fixed income , quantitative and multi-asset class, private… more
- Neuberger Berman (FL)
- …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 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
- 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
- Raymond James Financial, Inc. (Denver, CO)
- …category includes but is not limited to mutual funds, UITs, exchange traded products and fixed income . Some guidance is provided to perform varied work that is ... to ensure adherence to securities industry regulations and limit firm liability. An Advisor for the Packaged Products team would be expected to analyze various … more
- Oriental Bank (San Juan, PR)
- …business periodicals; comprehend technical procedures, government regulations and reports, fixed income portfolio management, forecast planning, investment ... The Advisor , Finance and Accounting (Treasury) assist in overseeing...liquidity needs by monitoring and forecasting liquidity levels in compliance with internal policies and regulatory guidelines. + Support… 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 * Expertise in ... *THE IMPACT YOU WILL MAKE* The Model Validation - Advisor role will offer you the flexibility to make...processes, and changes in the financial services industry, regulatory compliance , or other external environmental factors. * Work closely… more
- First Horizon Bank (Birmingham, AL)
- …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
- First Horizon Bank (Memphis, TN)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... footprint. **Summary** The Treasury Management (TM) Risk and Controls Advisor as a first line of defense role that...reporting that provides a holistic view of business unit compliance with risk programs, identification of top business unit… more
- First Horizon Bank (Charlotte, NC)
- …consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been ... job posting. **Summary** : The Business Risk and Controls Advisor sits in the first line of defense and...reporting that provides a holistic view of business unit compliance with risk programs, identification of top business unit… more
