- SMBC (New York, NY)
- …and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. + Strong ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...sales and trading groups with a focus on all Fixed Income activities including Primary Dealer and… more
- Santander US (New York, NY)
- Compliance Officer - Markets Business Line...real-time compliance advisory support to the US Fixed Income & Currencies sales and trading ... You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business which focus on credit, rates,… more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Our people work differently depending on their jobs ... of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced ...and policies on electronic and algorithmic trading for our fixed income and foreign exchange businesses. +… more
- City and County of San Francisco (San Francisco, CA)
- …defined as lowest cost as well as ensuring proper and adequate coverage of the fixed income markets. + Understand trading costs and employ a trading strategy ... position shall serve at the pleasure of the Appointing Officer . Our Mission The Office of the Treasurer &...+ Experience in buy-side investment management of short duration fixed income portfolios. + Experience investing within… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious… more
- T. Rowe Price (Baltimore, MD)
- …experience, we provide investment solutions and a broad range of equity, fixed income , and multi-asset capabilities to individuals, advisors, institutions, and ... to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the Exchange-Traded… more
- General Dynamics Information Technology (Chantilly, VA)
- …related experience **US Citizenship Required:** Yes **Job Description:** Physical Security Officer Senior Produce PTCO deliverables in context with the customer's ... Accreditation Process Review required documentation to ensure quality, completeness and compliance with ICD 705 and/or other applicable regulations (ie FFC, CSP,… more
- Citigroup (Jersey City, NJ)
- …compliance groups to address information barrier issues, trading in equities and fixed income , employee personal trading and various regulatory inquiries. + ... Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal… more
- First Horizon Bank (Memphis, TN)
- **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for ... consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income , and mortgage banking services. First Horizon has been… more
- ADP (Wilmington, DE)
- …ensure compliance with regulatory requirements. The Delaware Investment Center manages fixed income portfolios with approximately $40 billion in assets under ... appropriate. + **Trading Operations** + Oversee trading operations covering fixed income securities, overnight investments and reverse...the timely filing of the Reports of Condition and Income (Call Report) in compliance with FFIEC… more