, and analytics as trade surveillance specialist. Review trade exception reports and trading activity to ensure compliance... analysis. Assess alerts generated by trade/order/communication surveillance systems and escalate to management when necessary...
and administration of the Fixed Income compliance program. Coordinate and performs risk assessment, monitoring, testing and surveillance... Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding...
Join a global leading Broker Dealer as they look to bring on a business critical compliance officer in the Fixed Income..., algorithmic, hybrid, and voice trading. Address inquiries from various fixed income business units to ensure compliance...
Job Description: Job Title Compliance Officer – Fixed Income Sales & Trading - Credit Corporate Title Vice.../dealer working on or providing trade/sales support to such a desk Functional knowledge of the US fixed income...
role with specific experience/coverage of trading desk activities across either Equities or Fixed Income, Currencies... more efficiently (e.g., testing) Required Qualifications: 4-5 years in audit or in a compliance/business controls/risk management...
or equivalent practical experience 2+ years of experience in market or trade surveillance Knowledge of Fixed Income and Equities.... As we continue to expand our footprint in the fixed income e-trading market, we seek a Surveillance Associate to meet our increasing...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products...'s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products...’s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas...
risk through a surveillance and monitoring program. · Design, implement and maintain Compliance systems to ensure... products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities....
. Understanding of applicable SEC, MSRB, FINRA, and Exchange regulations with respect to equity and fixed income products... of confidential information. Working knowledge of equity and fixed income offering and syndicate issues, including Regulation M...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products..., and evaluate the impact of controls to address ongoing compliance. Participate in the review of monitoring and surveillance...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products..., and evaluate the impact of controls to address ongoing compliance. Participate in the review of monitoring and surveillance...
from virtual exposure to Aflac Global Investments platform with emphasis on fixed income - portfolio management, understanding the... programs, as well as employees and senior management. Training sessions including Introduction to Fixed Income, Life Cycle...
from virtual exposure to Aflac Global Investments platform with emphasis on fixed income - portfolio management, understanding the... programs, as well as employees and senior management. Training sessions including Introduction to Fixed Income, Life Cycle...
years of compliance, regulatory, or structured product/fixed income-related experience. Fixed Income product knowledge... personnel), colleagues within CMS, and Compliance, the VP will be responsible to review assigned surveillance reports, validate...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products...'s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products...’s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products...'s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products...’s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas...
interdependently with an engaged team that sits within a global Fixed Income function at a global asset management firm. Position... and trade orders for compliance with client guidelines Monitor and manage portfolio key rate durations Manage portfolio cash...