its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding... on compliance oversight over BMO’s Fixed Income activities, and maintain current knowledge of regulatory requirements...
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...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates... Fixed Income & Currencies (FIC) Sales & Trading business. The FIC Sales & Trading business focuses on credit, rates...
Job Summary Job Description What is the Opportunity? This role acts as Senior Compliance Officer primarily... Management Fixed Income Trading business lines with respect to registration, training, development and maintenance of policies...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... for every future! Purpose The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... for every future! Purpose The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct...
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...
and Trading Compliance Officer ("Sales and Trading Compliance Officer") within Guggenheim Securities. The Sales and Trading... Compliance Officer advises and assists the Firm's Sales and Trading Divisions in establishing, implementing, and testing...
makes trading fixed-income more accessible, ultimately improving transparency, efficiency, and competition in the... As MarketAxess expands both domestically and internationally, we are looking to add an Assistant Chief Compliance Officer...
beneficiaries and the City of New York. The Senior Investment Officer will assist in overseeing BAM's Alternative Credit program... financial transactions with considerable exposure to fixed income investments, such as high yield, bank loans, direct lending...
cx Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience... working for a Self-Clearing Broker Dealer in the role of Chief Compliance Officer who has worked at a Self-Clearing Broker...
makes trading fixed-income more accessible, ultimately improving transparency, efficiency, and competition in the... We are seeking a Chief Accounting Officer (CAO), who will lead the accounting function, including general ledger accounting, accounts...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... for every future! Purpose The Audit Manager/Senior Audit Manager supports/leads and oversees the internal audit and loan...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... for every future! Purpose The Audit Manager/Senior Audit Manager supports/leads and oversees the internal audit and loan...
clients across the Fixed Income product suite. ICG facilitates primary origination, distribution, and secondary market-making... of Fixed Income & Currencies (FIC) product suite and financing to institutional clients, including financials, asset managers...
ideal candidate for this VP role within Capital will have a broad understanding of fixed income markets, consumer loan... strategy and fostering strong financial partnerships. Reporting directly to the Chief Capital Officer, you will have high...
underwriting strategies such as statistical arbitrage, macro, fixed income relative value and alternative credit...Position Summary: Reporting to the Chief Investment Officer, the Managing Director of Investments takes a significant...
underwriting strategies such as statistical arbitrage, macro, fixed income relative value and alternative credit...Position Summary Reporting to the Chief Investment Officer, the Managing Director of Investments takes a significant...
underwriting strategies such as statistical arbitrage, macro, fixed income relative value and alternative credit...Position Summary Reporting to the Chief Investment Officer, the Managing Director of Investments takes a significant...