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...
businesses by acting as a team leader for Markets Compliance. What You'll Do Acting as a senior compliance officer... in relevant business forums and internal meetings. Provide compliance support for equities and fixed income sales and trading...
that control gaps are adequately escalated and mitigated through remedial actions. The Senior Compliance Testing Officer... Region. Role Details As a Senior Compliance Testing Officer you will be responsible for: Leading AFC and Compliance...
, 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...
, but not required Demonstrated understanding of the business, particularly with the focus on Fixed Income and Currencies business Experience...Job Description: Job Title Swap Dealer and Security-Based Swap Dealer Compliance Corporate Title Vice President...
/triggers selection and calibration. Review trading/investment proposals and new financial product proposals in Fixed Income..., PowerBI, Scripting in Python, R, Excel; and Fixed income products, capital markets products. At least 1 year must include...
particularly equities, fixed income and derivatives instruments Strong experience in one of the key product areas covered by the... team (e.g., equities, fixed income, derivatives, etc.) Comfortable working with data and using it to proactively identify...
% of which is actively managed in-house. Asset classes under management comprise global equities, fixed income, foreign exchange, private... Private Markets Team of OIM. The incumbent reports to the Senior Investment Officer, Private Equity/Private Credit (PE/PC...
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... / quarterly reporting for senior management, Internal Controls, GRM, Compliance, Audit, Operational Risk or 1A stakeholders...
and annuity insurance companies. Significant exposure to fixed income insurance portfolio management across private and public... will be an integral part of the investment team and work closely with senior members of Ares Insurance Solutions (“AIS”) on a variety...
capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX... and regulations to inform a compliance strategy Such other matters as requested by the manager of the Corporate and Technology Legal...
financial firm and will also work directly with the Deputy Chief Information Officer and the Chief Information Officer. OCIO... building, and can push processes forward, working on behalf of very senior executives and experienced team leads. Must maintain...
NY Office / Facilities Manager About Us The Tudor Group manages assets across fixed income, currency, commodity... Jones II, Co-Chairman, Chief Investment Officer, and the controlling principal, founded the Tudor Group in 1980. Since its...
understanding of Fixed income (e.g. Mortgage Backed Securities, Repos, Bonds and Futures) products, services, and systems... Operational Risk and Resilience (CM ORR) group. As part of the Capital Markets Office of the Chief Operating Officer (CM OCOO...
financial products particularly equities, fixed income and derivatives instruments Strong experience in one of the key product... areas covered by the team (e.g., equities, fixed income, derivatives, etc.) Comfortable working with data and using it...
financial products particularly equities, fixed income and derivatives instruments Strong experience in one of the key product... areas covered by the team (e.g., equities, fixed income, derivatives, etc.) Comfortable working with data and using it...