Fixed Income Compliance Jobs in Greenburgh

... Advisor The candidate will conduct compliance reviews under the direction of ... Americas Head of AFC and Compliance Testing in order to assess ... order to assess and review..

Fixed Income Sales and Trading Lawyer/Emerging Markets and Structured Credit The candidate will be advising the desks on legal and regulatory matters, including Dodd-Frank, and US broker-dealer rules/regulations, securities laws applicable ..

Seeking a Data Governance Specialist, for a major Financial Services client. Will be executing and enforcing established data governance processes that relate to tracking additions and changes to the objects under ..

Equity and Fixed Income Research Compliance Coverage The candidate will advise ... appropriate. Coordinate with Legal and Compliance coverage across businesses with respect ... Coordinate with Research Legal and Compliance..

A client of ours, a top-tier financial firm, is looking for a FIX Connectivity Specialist to be based in New York, NY. The responsibilities of the FIX Connectivity Specialist will include: ..

... will be serving as a compliance risk manager for Independent Compliance Risk Management (ICRM) responsible for ... franchise. Providing Electronic Trading (ET) compliance coverage to NAM & LATAM .....

Arbitrage Rebate Analyst The candidate will work within the firm's Financial Analysis & Services group ("FAS"). Consists of non-attorney professionals working under the purview of the firm's tax department. Will prepare ..

... various loan originators/issuers in the fixed income industry. We are looking for ... explanations for discrepancies to ensure compliance with each transaction’s offering documents. ... Banking · Loan Servicing..

Head of North America Research Compliance Duties: Providing compliance coverage to an assigned function/business/product. ... to an assigned function/business/product. Provides compliance guidance on function/business/product rules and ... and the application..

... for a motivated and talented compliance officer who is familiar with ... and back-office functions. Responsibilities: The Compliance Analyst – Special Products and ... various responsibilities, including: Providing advisory..

... is looking for an experienced Compliance professional with a background in ... reporting issues related to stock, fixed income, derivative securities and commodity products. ... specific focus on regulatory..

... office (trading, portfolio management, and compliance) applications, with ability to design ... in order management systems and equity/fixed income trading Preferred Skills:u003c/liu003eu003cliu003eExperience developing software ... development methodologiesu003c/liu003eu003c/ulu003eu003culu003eu003cliu003eKnowledge of equity..

... The Internal Auditor will perform Compliance, Financial, Operational and Information System ... of prudent business practices, and compliance with policies, procedures, and regulations. ... regulations. Conduct audits of equity,..

... various loan originators/issuers in the fixed income industry. We are looking for ... explanations for discrepancies to ensure compliance with each transaction’s offering documents. ... Banking · Loan Servicing..

Fixed Income Risk Manager The candidate will ... on institutional clients of the Fixed Income Division. The role requires legal ... of Credit desks within the Fixed Income Division (in..

Fixed Income Global Capital Markets Compliance The candidate will provide real ... as appropriate. Draft and maintain Compliance policies and procedures and Notices ... internal audits. Participate in annual Compliance..

Fixed Income Compliance Officer The candidate will provide ... Officer The candidate will provide Compliance support for the Rates of ... Rates of Sales & Trading, fixed income components of..

Job Summary We are seeking several motivated individual to join our Financial Services Representative team. The ideal candidate will have a strong math and technical aptitude, the ability to troubleshoot and ..

VP, Assistant General Counsel – Institutional Asset Management The candidate will provide expert legal and regulatory advice in connection with the CIF platform, working closely with Product Development, Sales and Portfolio ..

... external investment managers including equities, fixed income, mutual funds, ETFs, private equities, ... specific trust and estate objectives. Compliance with legal requirements and internal ... clients, and assets, by..

Fixed Income Transactional Lawyer Duties: Review a wide range of documentation, including bespoke deal agreements and opinions. Collaborate closely with the front office to understand their objectives in order to fulfill ..

Counsel Duties: Day-to-day support of Columbia Threadneedle Investments’ global front office matters, including investment support in the areas of fixed income, secondary loan trading, private equity and private debt, as well ..

Job Description and Responsibilities Interactive Brokers is looking for a motivated, analytical and methodical individuals with the financial services industry background and professional demeanor to be part of an exciting team ..