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 – Credit... to the Credit business within Fixed Income & Currencies (FIC) Sales & Trading; identify regulatory trends and developments...
; strong written and oral communication skills Expert with Microsoft Excel, Word and PowerPoint Working knowledge of all Fixed Income... will also be responsible for managing controls on specified activities as well as overseeing the Firm's data loss prevention compliance...
. Conduct in-depth analysis of investment strategies including fixed Income, equities, private and/or alternatives markets... years of experience in investment research, with a focus on Fixed Income. Proven track record of leading research teams...
management business, various fixed income/alternative asset classes and liability driven investment management. The individual..., etc. Monitoring and ensuring compliance with investment guideline requirements Assist in preparation of business units and senior...
management business, various fixed income/alternative asset classes and liability driven investment management. The individual..., etc. Monitoring and ensuring compliance with investment guideline requirements Assist in preparation of business units and senior...