- 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
- 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)
- …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
- 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
- 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)
- …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
- Wellington (New York, NY)
- …and span nearly all segments of the global capital markets, including equity, fixed income , multi-asset, and alternative strategies. As a private partnership ... wealth management. This role will serve as a key advisor to the C-suite and other senior executives, shaping...media coverage and manage reputational risks, working closely with compliance and legal teams to ensure alignment with regulatory… 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. ... client and determine if sufficient based on regulation + Evaluate an Investment Advisor 's organization structure as well as determine when full KYC Onboarding is… 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
