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Fixed Income Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 410 jobs

  • Broker Dealer Compliance Officer

    Michael Page International - US - New York City, NY

    and repurchase transactions *Assist CCO with equity and fixed income transactions *Monitor employee trades according ... years experience within fixed income / equity / brokerage compliance *Foreign broker dealer experience *Knowledge of...

    16 days ago from eFinancial Careers

  • Fixed Income Information Barriers Compliance

    Compliance Search Group - New York City, NY

    markets, trading or banking compliance coverage in-house, or working in audit, risk or regulatory areas. • Law ... bank seeks a Senior Compliance Officer- Control Group who will primary focus on the distressed debt desk, loans trading...

    8 days ago from eFinancial Careers

  • Compliance Officer Surveillance

    Citi - Jersey City, NJ

    Description Market Surveillance provides independent compliance coverage for the Equities, Fixed Income, Commodities/Fut ... 5+ years of experience in capital markets or securities compliance. The candidate should have strong regulatory,...

    27 days ago from Citi

  • Fixed Income Securitized Products Group Compliance Officer

    Morgan Stanley - Finance Industry - New York City, NY

    legal entities and jurisdictions of operation. The Fixed Income Division ("FID") Compliance Group ... Compliance Department is seeking junior or mid-level compliance officer or attorney to join the Fixed Income...

    30+ days ago from VelvetJobs

  • Broker Dealer Compliance - Fixed Income

    Michael Page International - US - New York City, NY

    inquiries • Monitor and ensuring compliance by associated persons with FINRA licensing requirements and compliance ... to assist Chief Compliance Officer with the U.S. broker-dealer business. Fixed income experience is...

    16 days ago from eFinancial Careers

  • Compliance Officer Market Surveillance

    Citi - Jersey City, NJ

    Degree Description Market Surveillance provides independent compliance coverage for the Equities, Fixed Income, ... 3+ years of experience in capital markets or securities compliance. The candidate should have strong regulatory,...

    27 days ago from Citi

  • Compliance Officer

    Leading Bank - Finance Industry - New York City, NY

    junior or mid-level Compliance Officer to join the Fixed Income Compliance Advisory Team. The candidate will be part ... Description Leading Bank Job Description The Compliance Officer will: Provide real time advice to fixed income...

    30+ days ago from VelvetJobs

  • Compliance Officer-Institutional Client Group Testing

    Compliance Search Group - Newark, NJ

    that would provide working knowledge of equities and fixed income products and related front/middle office and ... A global bank seeks a Senior Compliance Officer who will be part of the firm’s Institutional...

    8 days ago from eFinancial Careers

  • Senior Compliance Officer Market Surveillance FX

    Citi - Jersey City, NJ

    * Market Surveillance provides independent compliance coverage for the Equities, Fixed Income, ... 3+ years of experience in capital markets or securities compliance. * The candidate should have strong regulatory,...

    27 days ago from Citi

  • Compliance Officer

    Bank/broker Dealer - Finance Industry - New York City, NY

    * 7-12 years BD compliance (sell side) overseeing fixed income, equity (emerging Market) and research * ... Description * Responsible for compliance for: Equity, Fixed Income, and M&A. Equities are primarily Emerging...

    24 days ago from VelvetJobs

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