Monitoring portfolio positions, trade orders and analytics for compliance with client guidelines ... Experience with Fixed Income credit, currency and/or global markets is preferred. * Motivated self ...
Monitoring portfolio positions, trade orders and analytics for compliance with client guidelines ... Experience with Fixed Income credit, currency and/or global markets is preferred. * Motivated self ...
Monitoring portfolio positions, trade orders and analytics for compliance with client guidelines ... Experience with Fixed Income credit, currency and/or global markets is preferred. * Motivated self ...
Monitoring portfolio positions, trade orders and analytics for compliance with client guidelines ... Experience with Fixed Income credit, currency and/or global markets is preferred. * Motivated self ...
Associate Portfolio Manager
Nashville, TN · On-site
... Fixed Income Investment team as well as other areas of the firm including Sales, Product Development, Middle Office, Compliance, and Technology and Operations. This role enables an individual to ...
Associate Portfolio Manager
Nashville, TN · On-site
... Fixed Income Investment team as well as other areas of the firm including Sales, Product Development, Middle Office, Compliance, and Technology and Operations. This role enables an individual to ...
Associate Portfolio Manager
Nashville, TN · On-site
... Fixed Income Investment team as well as other areas of the firm including Sales, Product Development, Middle Office, Compliance, and Technology and Operations. This role enables an individual to ...
Associate Portfolio Manager
Nashville, TN · On-site
... Fixed Income Investment team as well as other areas of the firm including Sales, Product Development, Middle Office, Compliance, and Technology and Operations. This role enables an individual to ...
Associate Portfolio Manager
Nashville, TN · On-site
... Fixed Income Investment team as well as other areas of the firm including Sales, Product Development, Middle Office, Compliance, and Technology and Operations. This role enables an individual to ...
Associate Portfolio Manager
Nashville, TN · On-site
... Fixed Income Investment team as well as other areas of the firm including Sales, Product Development, Middle Office, Compliance, and Technology and Operations. This role enables an individual to ...
Associate Portfolio Manager
Nashville, TN · On-site
... Fixed Income Investment team as well as other areas of the firm including Sales, Product Development, Middle Office, Compliance, and Technology and Operations. This role enables an individual to ...
Associate Portfolio Manager
Nashville, TN · On-site
... Fixed Income Investment team as well as other areas of the firm including Sales, Product Development, Middle Office, Compliance, and Technology and Operations. This role enables an individual to ...
SUMMARY The Senior Risk Compliance Officer will primarily support the bank's regulatory relations ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
SUMMARY The Senior Risk Compliance Officer will primarily support the bank's regulatory relations ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
SUMMARY The Senior Risk Compliance Officer will primarily support the bank's regulatory relations ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
SUMMARY The Senior Risk Compliance Officer will primarily support the bank's regulatory relations ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
The role blends compliance and fair banking oversight, ensuring practices protect clients, align ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
The role blends compliance and fair banking oversight, ensuring practices protect clients, align ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
The role blends compliance and fair banking oversight, ensuring practices protect clients, align ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
The role blends compliance and fair banking oversight, ensuring practices protect clients, align ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
... Senior Risk Compliance Officer - BSA Systems develops, administers, and monitors anti-money ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
... Senior Risk Compliance Officer - BSA Systems develops, administers, and monitors anti-money ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
... Senior Risk Compliance Officer - BSA Systems develops, administers, and monitors anti-money ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
... Senior Risk Compliance Officer - BSA Systems develops, administers, and monitors anti-money ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
... Senior Risk Compliance Officer - BSA Systems develops, administers, and monitors anti-money ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
... Senior Risk Compliance Officer - BSA Systems develops, administers, and monitors anti-money ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
... Senior Risk Compliance Officer - BSA Systems develops, administers, and monitors anti-money ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
... Senior Risk Compliance Officer - BSA Systems develops, administers, and monitors anti-money ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Staff Accountant
Memphis, TN · On-site
$53K - $70K/yr
... compliance with departmental guidelines and procedures, and proper inclusion in the financial ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Staff Accountant
Memphis, TN · On-site
$53K - $70K/yr
... compliance with departmental guidelines and procedures, and proper inclusion in the financial ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Sr. Associate, Tax
Nashville, TN · Hybrid
$78K - $97K/yr
... compliance with U.S. GAAP. Investment Tax * Manage tax matters related to the company's investment portfolio, including equity investments, fixed income, alternatives, and derivatives. * Serve as ...
Sr. Associate, Tax
Nashville, TN · Hybrid
$78K - $97K/yr
... compliance with U.S. GAAP. Investment Tax * Manage tax matters related to the company's investment portfolio, including equity investments, fixed income, alternatives, and derivatives. * Serve as ...
Trust Relationship Manager
Knoxville, TN · On-site
Monitors client profitability, cross sell marketing plans, risk management, legal and compliance ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Trust Relationship Manager
Knoxville, TN · On-site
Monitors client profitability, cross sell marketing plans, risk management, legal and compliance ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Banking Center Manager
Germantown, TN · On-site
Ensure that regulatory compliance standards are met. * Responsible for controlling operational and ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Banking Center Manager
Germantown, TN · On-site
Ensure that regulatory compliance standards are met. * Responsible for controlling operational and ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Ensure that regulatory compliance standards are met. * Responsible for controlling operational and ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Ensure that regulatory compliance standards are met. * Responsible for controlling operational and ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Ensure that regulatory compliance standards are met. * Responsible for controlling operational and ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Ensure that regulatory compliance standards are met. * Responsible for controlling operational and ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Fixed Income Compliance information
What is the difference between Fixed Income Compliance vs Fixed Income Trading?
| Aspect | Fixed Income Compliance | Fixed Income Trading |
|---|---|---|
| Primary Focus | Ensuring adherence to regulations and internal policies in fixed income securities | Buying and selling fixed income securities to generate profit |
| Required Credentials | Certifications like Series 7, Series 63, or Series 24 often preferred | Series 7, Series 63, or Series 55 typically required |
| Work Environment | Regulatory departments, compliance teams, financial institutions | Trading floors, investment banks, asset management firms |
| Key Responsibilities | Monitoring trades, implementing compliance policies, risk management | Executing trades, market analysis, portfolio management |
While Fixed Income Compliance focuses on regulatory adherence and risk mitigation within fixed income securities, Fixed Income Trading involves actively buying and selling these securities to achieve investment objectives. Both roles require similar certifications and often work within the same financial institutions, but their core functions differ significantly.
Is fixed income compliance a good career?
Job description
Who You'll Work With:
Fixed Income Associate Portfolio Managers (APM) are responsible for supporting our global Portfolio Management teams through accurate and efficient implementation of portfolio decisions. They support all asset classes and work closely with teams across the AB enterprise, including investment management, operations, technology, sales, and trading. An APM should show an interest in financial markets and will develop a deep understanding of our products, operational policies, and procedures.
As part of the business, the Fixed Income APM role offers high visibility to the Fixed Income Investment team as well as other areas of the firm including Sales, Product Development, Middle Office, Compliance, and Technology and Operations. This role enables an individual to experience all aspects of the asset management business.
What You'll Do:
An APM must ensure accurate and efficient implementation of fixed income trades. Specific responsibilities include:
- Managing portfolio cash balances and ensuring cash balances are consistent with product guidelines and current investment strategy.
- Monitoring portfolio positions, trade orders and analytics for compliance with client guidelines and adherence to asset allocation, duration, and risk targets.
- Highlighting deviations from targets and recommending trades to rebalance portfolios.
- Generating purchase or sell orders to manage client cash flows, FX rebalances and active investments.
- Facilitating account opening/closings and liaising with Sales and Portfolio Management to address ad-hoc client requests.
- Assisting with preparation of investment and portfolio exposure reports.
- Reviewing proposed guideline amendments, custodial changes and other activities that may impact accounts.
- Identifying opportunities and partnering with technologists to re-engineer and automate processes to increase operational efficiency, improve client service and enhance risk controls.
- Providing support to Portfolio Managers, Sales, Trading and Operations to deliver against client requirements.
What We're Looking For:
Candidates must have outstanding attention to detail, coupled with a proven ability to think logically and make sound decisions in a fast-paced environment, often under time pressure and across multiple tasks. Specific requirements include:
- A bachelor's degree with three to five years of industry-related experience.
- Experience with Fixed Income credit, currency and/or global markets is preferred.
- Motivated self-starter with a passion for process improvement and leveraging technology to solve complex business problems.
- Strong interest/experience in financial markets, notably insurance asset management.
- Excellent problem-solving and analytical skills.
- Effective communication skills paired with a strong desire to work in a team-oriented organization.
- Exceptional understanding of risk management and overall control environment.
- Proficiency in Microsoft Excel.
- Strong soft skills such as adaptability and creativity.
- Coding experience is beneficial: SQL, Python, etc. or use of data visualization tools like PowerBI.
About AB
We are a leading global investment management firm offering high-quality research and diversified investment services to institutional clients, retail investors, and private-wealth clients in major markets around the globe. With over4,000employees across57locations operating in26countries and jurisdictions, our ambition is simple: to be the most trusted investment firm in the world. We realize that it's our people who give us a competitive advantage and drive success in the market, and our goal is to create an inclusive culture that rewards hard work.
Our culture of intellectual curiosity and collaboration creates an environment where you can thrive and do your best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business or providing thoughtful advice to our clients, we are fully invested in you. If you're ready to challenge your limits and empower your career, join us!
All are encouraged to apply.AB does not discriminate against any employee or applicant for employment on the basis of race, color, religion, creed, ancestry, national origin, sex, age, disability, marital status, citizenship status, sexual orientation, gender identity, military or veteran status or any other basis that is prohibited by applicable law. AB's policies and practices seek to ensure that employment opportunities are available to all employees and applicants based solely on job-related criteria.
Nashville, TennesseeAbout AllianceBernstein
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Industry
Finance and insurance
Company size
1,001 - 5,000 Employees
Headquarters location
Nashville, TN, US