VP, Fixed Income Trade Surveillance & Compliance
TD Bank Group
TD Securities (USA) LLC in New York invites a Vice President to lead the trade surveillance team within Compliance. You will oversee regulatory risk management for Fixed Income, Commodities, Options and Futures, guiding a team of specialists and partnering with front office and control functions. The role requires broad product knowledge, strong leadership, and the ability to translate regulatory changes into practical controls. #J-18808-Ljbffr TD Bank Group
Vacancy posted 5 days ago
Similar jobs that could be interesting for youBased on the VP, Fixed Income Trade Surveillance & Compliance in New York, NY vacancy
$140k - $180k
...America Hours: 40 Line of Business: Compliance Pay Detail: $140,000 - $180,00... ...candidate to join the trade surveillance team, specializing in and possessing broad knowledge in Fixed Income, Commodities, Options and Futures products. The VP Compliance role oversees a team...SurveillanceWork experience placementLocal areaWork from homeFlexible hours$175k - $200k
...Title: Head of Fixed Income Operations & Trade Lifecycle Controls Office Status: Hybrid – New York... ...owner across the firm's regulatory compliance and SOX framework. With a growing Fixed... ...17a-5, transaction reporting, and surveillance Review daily controls across...SurveillanceFull timeWork at officeMadison-Davis, LLC
New York, NY1 day ago- ...Job Description Title: Technical Business Analyst – Fixed Income / Trade Surveillance Location: New York City, NY or Jersey City, NJ Work... ...specifications, and collaborate across Trading, Compliance, Surveillance, Technology, and Data teams to enhance surveillance...SurveillanceContract work
Expert In Recruitment Solutions
New York, NY2 days ago $170k - $190k
Job Title Chief Operating Officer / Business Manager - Fixed Income & Currencies - Energy Trading Corporate Title Vice President Location New York, NY... ..., self-identified issues, Group Audit findings and Compliance findings). Partner with Compliance, Anti-Financial Crime...SuggestedWork from home- ...experienced Technical Business Analyst with strong Fixed Income and Trade Surveillance experience to support an urgent initiative within the... ...technical specifications Work closely with Trading, Compliance, Surveillance, Technology, and Data teams Analyze trade...Surveillance
$120k - $205k
...our team as a Vice President in Global Compliance to support the Compliance Coverage... ...compliance coverage to the Equity and Fixed Income Research business and occasional support... ...procedures.Perform the monitoring, testing and surveillance of Research-related regulatory...SurveillanceTemporary workMorgan Stanley
New York, NY2 days ago$120k - $140k
...AVP, Fixed Income Compliance Officer Location: New York, NY This position is well-suited for... ...metrics related to Fixed Income Sales & Trading activity. Develop, maintain, and... ...potential issues through review of trade, surveillance, monitoring, and control data....SurveillanceFull timeJefferies
New York, NY2 days ago- ...Opportunity Join a high-performing compliance team supporting a... ...global macro and multi-asset trading strategies, helping ensure regulatory... ...global macro trading across fixed income, foreign exchange, credit,... ...or overseeing trade surveillance, pre-trade controls, post-trade...Surveillance
$140k - $245k
...markets. With deep expertise in fixed income, equity, and alternative... ...relative and absolute risk return trade-offs in primary and... ...due diligence, and portfolio surveillance workflows—synthesizing filings... ...maintaining sound judgment and compliance with governance standards....SurveillanceLocal areaFlexible hoursLiberty Mutual
New York, NY1 day ago- ...seeking a junior to mid-level Compliance Officer to provide real-time... ...covering the Firm’s various fixed income businesses. Specific... ...time advice and guidance to trading and sales force on regulatory... ...Conduct electronic communications surveillance and trade reconstructions....SurveillanceFull timeWork at office
$120k - $205k
Morgan Stanley is seeking a Vice President in Global Compliance to provide compliance coverage for the Research business, focusing on equity and fixed income activities. This role requires at least 8 years of experience in compliance and a solid understanding of U.S. Research...$152k - $233k
...Operations is seeking a proactive Liquidity and Fixed Income Transaction Management leader to join... ..., and timely issue resolution across trade capture, confirmations, settlement, cash... ...closely with MSIM Trading, Technology, Compliance, Counterparties, Prime Brokers/Clearing...Temporary workWork at officeMorgan Stanley
New York, NY1 day ago$150k - $250k
...part of our culture.Department ProfileThe Fixed Income Division is comprised of Interest Rate... ...Division assess and actively manage risk, trade securities, and structure as well as execute... ...looking for an experienced Associate to VP to join the Collateralized Mortgage...Temporary workWorldwideMorgan Stanley
New York, NY3 days ago- We are seeking someone to join Global Compliance as a Vice President who will provide advisory... ...for the Securitized Products Sales & Trading, Origination and Lending and the Rates... ...and jurisdictions of operation. Fixed Income ComplianceThe Fixed Income Division ("FID...Temporary work
Morgan Stanley
New York, NY1 day ago $150k - $210k
...management and wealth management services. We advise, originate, trade, manage and distribute capital for governments, institutions... ..., develop, and support strategic technology platforms for Fixed Income Credit Market Data and Risk. Partner closely with traders, quantitative...Temporary workFlexible hours$160k - $250k
...needs is an important part of our culture.Department ProfileThe Fixed Income Division is comprised of Interest Rate and Currency Products,... ...in the Division assess and actively manage risk, trade securities, and structure as well as execute innovative transactions...Temporary workWorldwideMorgan Stanley
New York, NY4 days ago- Societe Generale Americas Compliance department is seeking an experienced professional to support trade surveillance and regulatory compliance activities in a dynamic environment. The role focuses on futures and fixed income while ensuring adherence to applicable laws...Surveillance
- Seaport Global Holdings LLC seeks a Compliance Analyst to join our team on a temporary basis in New York... ...FINRA registrations. You will support daily surveillance, trade review, and licensing processes for our fixed income and equity businesses. #J-18808-Ljbffr Seaport...SurveillanceTemporary work
$150k - $250k
...perspectives and needs is an important part of our culture. The Fixed Income Division is comprised of Interest Rate and Currency Products,... ...in the Division assess and actively manage risk, trade securities, and structure as well as execute innovative transactions...Full timeTemporary workWorldwide$188.18k - $291.7k
...comWhat you'll be doing: CIBC World Markets Corp. seeks an Executive Director, Commodities and Fixed Income Risk Manager to analyze market risk for US commodity, bonds, and rates trading activities. Establish risk frameworks and processes to control and monitor against all...Full timePart timeRemote workCIBC Bank
New York, NY2 days ago$120k - $205k
...We are seeking someone to join Global Compliance as a Vice President who will provide advisory... ...for the Securitized Products Sales & Trading, Origination and Lending and the Rates... ...and jurisdictions of operation. Fixed Income Compliance The Fixed Income Division...Full timeTemporary work$180k - $205k
...asset classes and client segments. Based in New York, the VP, eSales – Fixed Income & FX, Americas will act as the regional lead and center of... ...leadership, working closely with Global Markets Sales, Trading, Structuring, Product and Engineering teams to expand BBVA’...Work at officeLocal areaBBVA
New York, NYa month ago$129.84k - $194.76k
...highly motivated Business Analyst and Product Manager for its Fixed Income - Spread Products (SP) Technology team that serves the Whole... ...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...Full timeCitigroup
New York, NY3 hours ago- ...Vice President, Internal Audit, Fixed Income About the Company Global financial services firm in NYC Industry Financial Services... ...of Internal Audit to lead risk-based audits of fixed income trading and related control functions. Responsibilities include...
- Cohen & Steers is seeking a VP of Product Management for the Preferred Securities and Fixed Income line in New York. The role leads product strategy, pricing, parameters and collaboration with Investments, Distribution and Marketing to drive growth and competitiveness...
$145k - $175k
Product Control - Fixed Income Vice President Join to apply for the Product Control - Fixed Income Vice President role at Nomura Job description... ...and provide appropriate commentary on drivers Fielding Trading Desk queries Oversight and management of Front Office to Back...Work experience placementRelocation package$125k - $250k
...individuals worldwide. Global multi-sector fixed income team within Broad Markets Fixed Income... ...strong risk-adjusted returns in compliance with client objectives and investment guidelines... ...daily flows, periodic rebalancing, trade implementations, model construction for...Temporary workWorldwide$165k - $200k
Risk| Compliance Conduct & Ethics | Vice President, Product Compliance... ...organization and support trading, sales, and capital markets... ...businesses across derivatives, fixed income, treasury, and repo products... ...compliance monitoring and surveillance reviews and assist with issue...SurveillanceWork at officeWork from home- Our Team Bloomberg’s Post Trade Implementation team helps financial... ...critical trading, compliance and post-trade workflows. We... ...transaction cost analysis, trade surveillance, regulatory reporting,... ...more asset classes such as Fixed Income, Equities, FX or OTC markets...Surveillance
$150k - $180k
...Line of Business: Compliance Pay Detail: 15000... ...Qualifications: The VP Compliance Model and Data... ...and sustainable surveillance program. Functional... ...Surveillance leadership and Trade Surveillance... ...rates currencies and fixed income products. Familiarity...SurveillanceFull timeWork experience placementWork at officeLocal areaWork from homeFlexible hours
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to VP, Fixed Income Trade Surveillance & Compliance. Be the first to apply!
Related searches
- vp cloud New York, NY
- vp customer service New York, NY
- vice president sustainability New York, NY
- senior vice president communications New York, NY
- vice president of application development New York, NY
- vice president global communications New York, NY
- vp talent management & organizational development New York, NY
- assistant vice president compliance New York, NY
- vice president internal communications New York, NY
- vice president transformation New York, NY