Job Description: Job Title Compliance Officer – Fixed Income Sales & Trading - Credit Corporate Title Vice... President Location New York, NY Overview You will provide real-time support to the Fixed Income & Currencies (FIC) Sales...
, Compliance, and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large... and trading groups with a focus on all Fixed Income activities including Primary Dealer and fixed income futures activity...
Required: Good knowledge of fixed income products and services Excellent inter-personal and communication skills, including... Desired Qualifications and Competencies: 5-7+ years’ experience working with fixed income products and services...
to exchanges and technology-powered services. For more information visit Purpose of Role: The Executive Compliance Officer..., including OTC derivatives, structured notes/products, equities, fixed income, listed options, equity derivatives, and hedging...
to exchanges and technology-powered services. For more information visit Purpose of Role: The Executive Compliance Officer..., including OTC derivatives, structured notes/products, equities, fixed income, listed options, equity derivatives, and hedging...
(Director) Contract type Permanent Contract Job summary Summary: The Fixed Income Compliance Officer is responsible.... -Research and respond to regulatory inquiries. Management and Reporting: The Fixed Income Compliance officer reports...
(Director) Contract type Permanent Contract Job summary Summary: The Fixed Income Compliance Officer is responsible.... -Research and respond to regulatory inquiries. Management and Reporting: The Fixed Income Compliance officer reports...
Summary: The Fixed Income Compliance Officer is responsible for day-to-day monitoring and surveillance of the Global... and Reporting: The Fixed Income Compliance officer reports directly to the US Head of Global Markets Regulatory Compliance...
university Extensive knowledge in equity and fixed income institutional trading, investment banking, and research activities 10... relentless, customized service is the foundation of our consistent growth. The Vice President, Capital Markets Compliance...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. What You'll...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. What You’ll...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... and objectives. Serves as Compliance Officer within Bank Regulatory Compliance of the U.S. operation of The Bank of Nova Scotia (the...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... and objectives. Serves as Compliance Officer within Bank Regulatory Compliance of the U.S. operation of The Bank of Nova Scotia (the...
with the Business Line Compliance Officers, Supervision and Control teams, Chief Operating Officer (COOs), and supervisors... a plus but not required Demonstrated understanding of Investment Bank businesses, particularly Fixed Income and Currencies (FIC) businesses Experience...
reins as global head of compliance, reporting directly to the Chief Operating Officer. You must have extensive experience in..., with a focus on hedge funds or asset management. Strong knowledge and experience of Fixed Income and Commodities...
of a Global Markets Division Compliance officer is to assist the firm in preventing, detecting and mitigating compliance..., fixed income, etc.), while working closely with other firm departments, including Legal, Risk, Finance, Operations...
of a Global Markets Division Compliance officer is to assist the firm in preventing, detecting and mitigating compliance...MORE ABOUT THIS JOB: GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory...
of a Global Markets Division Compliance officer is to assist the firm in preventing, detecting and mitigating compliance...MORE ABOUT THIS JOB: GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance, regulatory...
of available USD, EUR and CHF funds in world-wide short term money markets, fixed income and equity markets within the investment..., fixed income, equity and currencies; Proven analytical skills and ability to provide well-reasoned advice in the area...
Investment Office's fixed income portfolio which includes diversified investments across securitized and non-securitized asset... across the fixed income spectrum. Engage with senior members of Treasury/Chief Investment Office Credit Risk and the Portfolio...