Paralegal
Nashville, TN · On-site
The Legal and Compliance Department is responsible for ensuring compliance with all of the legal ... fixed income and multi-asset funds. * Minimum of 3 years of experience as a paralegal in an in ...
Paralegal
Nashville, TN · On-site
The Legal and Compliance Department is responsible for ensuring compliance with all of the legal ... fixed income and multi-asset funds. * Minimum of 3 years of experience as a paralegal in an in ...
Document data models, schemas, business definitions, and relationships across fixed income ... compliance considerations. * Support adoption of enterprise catalogs (e.g., Purview) through ...
Document data models, schemas, business definitions, and relationships across fixed income ... compliance considerations. * Support adoption of enterprise catalogs (e.g., Purview) through ...
Middle Office Analyst
Nashville, TN · On-site
In the event of any issues, ABMO coordinates solutions with Trading, Compliance, and both internal ... This team provides product support for Fixed Income, Equities, Futures, Foreign Exchange ...
Middle Office Analyst
Nashville, TN · On-site
In the event of any issues, ABMO coordinates solutions with Trading, Compliance, and both internal ... This team provides product support for Fixed Income, Equities, Futures, Foreign Exchange ...
Middle Office Analyst
Nashville, TN · On-site
$65 - $90/hr
In the event of any issues, ABMO coordinates solutions with Trading, Compliance, and both internal ... This team provides product support for Fixed Income, Equities, Futures, Foreign Exchange ...
Middle Office Analyst
Nashville, TN · On-site
$65 - $90/hr
In the event of any issues, ABMO coordinates solutions with Trading, Compliance, and both internal ... This team provides product support for Fixed Income, Equities, Futures, Foreign Exchange ...
Middle Office Analyst
Nashville, TN · On-site
In the event of any issues, ABMO coordinates solutions with Trading, Compliance, and both internal ... This team provides product support for Fixed Income, Equities, Futures, Foreign Exchange ...
Middle Office Analyst
Nashville, TN · On-site
In the event of any issues, ABMO coordinates solutions with Trading, Compliance, and both internal ... This team provides product support for Fixed Income, Equities, Futures, Foreign Exchange ...
... e.g., fixed-income, equity derivatives) and have a greater degree of knowledge of their product ... All activities must be in compliance with Equal Employment Opportunity laws, HIPAA, ERISA, and ...
... e.g., fixed-income, equity derivatives) and have a greater degree of knowledge of their product ... All activities must be in compliance with Equal Employment Opportunity laws, HIPAA, ERISA, and ...
FHNF CLIENT SERVICES ANALYST
Memphis, TN · On-site
... compliance in systems design, availability, security and reliability. Areas of specific ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
FHNF CLIENT SERVICES ANALYST
Memphis, TN · On-site
... compliance in systems design, availability, security and reliability. Areas of specific ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
... compliance in systems design, availability, security and reliability. Areas of specific ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
... compliance in systems design, availability, security and reliability. Areas of specific ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Senior Investment Manager
Nashville, TN · On-site
... compliance with all relevant regulatory policies and procedures. QUALIFICATIONS Required ... The role requires a multi-product focus that incorporates equities, fixed income, foreign exchange ...
Senior Investment Manager
Nashville, TN · On-site
... compliance with all relevant regulatory policies and procedures. QUALIFICATIONS Required ... The role requires a multi-product focus that incorporates equities, fixed income, foreign exchange ...
Sr Director, Middle Office
Brentwood, TN · On-site
... e.g., fixed-income, equity derivatives) and have a greater degree of knowledge of their product ... All activities must be in compliance with Equal Employment Opportunity laws, HIPAA, ERISA, and ...
Sr Director, Middle Office
Brentwood, TN · On-site
... e.g., fixed-income, equity derivatives) and have a greater degree of knowledge of their product ... All activities must be in compliance with Equal Employment Opportunity laws, HIPAA, ERISA, and ...
FHNF CLIENT SERVICES ANALYST
Memphis, TN · On-site
... compliance in systems design, availability, security and reliability. Areas of specific ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
FHNF CLIENT SERVICES ANALYST
Memphis, TN · On-site
... compliance in systems design, availability, security and reliability. Areas of specific ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
FHNF CLIENT SERVICES ANALYST
Memphis, TN · On-site
... compliance in systems design, availability, security and reliability. Areas of specific ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
FHNF CLIENT SERVICES ANALYST
Memphis, TN · On-site
... compliance in systems design, availability, security and reliability. Areas of specific ... fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation ...
Sr Director, Middle Office
Brentwood, TN · On-site
$140 - $190/hr
... e.g., fixed-income, equity derivatives) and have a greater degree of knowledge of their product ... All activities must be in compliance with Equal Employment Opportunity laws, HIPAA, ERISA, and ...
Sr Director, Middle Office
Brentwood, TN · On-site
$140 - $190/hr
... e.g., fixed-income, equity derivatives) and have a greater degree of knowledge of their product ... All activities must be in compliance with Equal Employment Opportunity laws, HIPAA, ERISA, and ...
Tax Manager
Oak Ridge, TN · On-site
$106K - $139K/yr
Manage SALT compliance, including state income/franchise tax filings, apportionment reviews, and nexus considerations. 2. IFRS Fixed Asset & GL Collaboration * Partner with the GL team to ensure ...
Tax Manager
Oak Ridge, TN · On-site
$106K - $139K/yr
Manage SALT compliance, including state income/franchise tax filings, apportionment reviews, and nexus considerations. 2. IFRS Fixed Asset & GL Collaboration * Partner with the GL team to ensure ...
Tax Analyst
Nashville, TN · On-site
Review fixed assets for proper tax classification and generate depreciation reports * Maintain and ... Basic working knowledge of Canadian corporate income tax laws and regulations a plus * Basic ...
Quick apply
Tax Analyst
Nashville, TN · On-site
Review fixed assets for proper tax classification and generate depreciation reports * Maintain and ... Basic working knowledge of Canadian corporate income tax laws and regulations a plus * Basic ...
Business Controller
Collierville, TN · On-site
$55 - $115/hr
Compliance & Controls: Monitor operational income statements, conduct fraud prevention reviews, and ... Inventory & Fixed Assets: Conduct physical vehicle inventories, reconcile parts inventory, and ...
Business Controller
Collierville, TN · On-site
$55 - $115/hr
Compliance & Controls: Monitor operational income statements, conduct fraud prevention reviews, and ... Inventory & Fixed Assets: Conduct physical vehicle inventories, reconcile parts inventory, and ...
Your Impact Financial Reporting & Compliance * Oversee the preparation of monthly, quarterly, and ... Lead day-to-day accounting functions including revenue recognition, lease accounting and fixed ...
Your Impact Financial Reporting & Compliance * Oversee the preparation of monthly, quarterly, and ... Lead day-to-day accounting functions including revenue recognition, lease accounting and fixed ...
Perform balance sheet, income statement and cash flow account analysis. * Financial statement ... Maintain fixed asset records. * Perform bank reconciliations. * Prepare annual property tax returns ...
Perform balance sheet, income statement and cash flow account analysis. * Financial statement ... Maintain fixed asset records. * Perform bank reconciliations. * Prepare annual property tax returns ...
Controller
Knoxville, TN · On-site
... ensuring compliance with applicable accounting requirements and company policies. This position ... Oversee the preparation of financial statements, including income statements, balance sheets ...
Quick apply
Controller
Knoxville, TN · On-site
... ensuring compliance with applicable accounting requirements and company policies. This position ... Oversee the preparation of financial statements, including income statements, balance sheets ...
Business Manager I
Collierville, TN · On-site
$55 - $115/hr
Compliance & Controls: Monitor operational income statements, conduct fraud prevention reviews, and ... Inventory & Fixed Assets: Conduct physical vehicle inventories, reconcile parts inventory, and ...
Business Manager I
Collierville, TN · On-site
$55 - $115/hr
Compliance & Controls: Monitor operational income statements, conduct fraud prevention reviews, and ... Inventory & Fixed Assets: Conduct physical vehicle inventories, reconcile parts inventory, and ...
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?
Fixed income compliance is a specialized field within financial regulation that involves ensuring firms adhere to laws and policies related to bond and debt securities. It requires strong knowledge of financial regulations, attention to detail, and often certification such as the Series 7 or 24. The role offers stability and opportunities for advancement in the finance industry.
What are popular job titles related to Fixed Income Compliance jobs in Tennessee?
For Fixed Income Compliance jobs in Tennessee, the most frequently searched job titles are:
What job categories do people searching Fixed Income Compliance jobs in Tennessee look for?
The top searched job categories for Fixed Income Compliance jobs in Tennessee are:
Full-time
Re-posted yesterday
Key responsibilities
Assist attorneys with the preparation and update of fund registration statements, including Part Cs and prospectus supplements.
Assist in the preparation of documentation related to the organization, reorganization, modification, and liquidation of funds.
Coordinate, compile, organize, and review agendas, resolutions, and materials for Board of Directors and Committee meetings, and assist with the preparation and filing of fund contracts and disclosure documents.
Job description
Who You'll Work With:
We are looking for a Mutual Fund ('40 Act) Paralegal to join our Mutual Fund Legal Group in a fast paced and dynamic environment. Your impact as both an individual contributor and a team member is critical to the success of the team.
What You'll Do:
The Legal and Compliance Department is responsible for ensuring compliance with all of the legal and regulatory requirements to which we are subject, protecting the firm from regulatory and reputational risk across the globe, and strengthening the firm's culture of compliance. We do this through collaborative partnership with the business units we support by providing thoughtful and timely advice. In addition, the department conducts global monitoring and training activities that detect, address and mitigate regulatory and reputational risk. The advice coupled with the monitoring and training activities provide the framework to support the firm's business strategy and objectives while maintaining a high standard for integrity.
What We're Looking For:
The Mutual Fund Legal Group is responsible for coordinating and supervising the legal aspects of our domestic, US registered funds, including ETFs and closed-end funds. AB's funds complex currently consists of over 90 portfolios covering a broad range of investment services including alternatives, equity, fixed income and multi-asset funds.
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 over 4,000 employees across 57 locations operating in 26 countries 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, Tennessee
We are looking for a Mutual Fund ('40 Act) Paralegal to join our Mutual Fund Legal Group in a fast paced and dynamic environment. Your impact as both an individual contributor and a team member is critical to the success of the team.
What You'll Do:
The Legal and Compliance Department is responsible for ensuring compliance with all of the legal and regulatory requirements to which we are subject, protecting the firm from regulatory and reputational risk across the globe, and strengthening the firm's culture of compliance. We do this through collaborative partnership with the business units we support by providing thoughtful and timely advice. In addition, the department conducts global monitoring and training activities that detect, address and mitigate regulatory and reputational risk. The advice coupled with the monitoring and training activities provide the framework to support the firm's business strategy and objectives while maintaining a high standard for integrity.
- Assist attorneys with the preparation and update of fund registration statements including Part Cs, and supplements to prospectuses.
- Assist attorneys in the preparation of documentation related to the organization, reorganization, modification, and liquidation of funds.
- Assist in product development and mutual fund and ETF creations/launches. Assist with administrative projects including uploading and managing Board materials to Diligent and performing other duties relevant to Board materials.
- Coordinate, compile, organize and review agendas, resolutions, and materials for Board of Directors and Committee meetings; assemble and obtain applicable reports for Board Books.
- Assist in the preparation and execution of fund contracts.
- Review various disclosure documents required for assigned funds, including shareholder reports and N-CENS.
- Assist in the creation of proxy materials. Assist in the preparation and filing of Tender Offer documents for closed-end funds.
- Maintain internal document repositories--organize and maintain fund records for assigned funds, including electronic document and file management.
- Maintaining up-to-date listing of Officers and portfolio managers for our funds in databases.
- Develop and maintain "tickler" files and calendars for assigned funds to coordinate workflow and assure adherence to project timelines, due dates and regulatory deadlines
What We're Looking For:
The Mutual Fund Legal Group is responsible for coordinating and supervising the legal aspects of our domestic, US registered funds, including ETFs and closed-end funds. AB's funds complex currently consists of over 90 portfolios covering a broad range of investment services including alternatives, equity, fixed income and multi-asset funds.
- Minimum of 3 years of experience as a paralegal in an in-house legal department or law firm
- College degree preferred
- Experience with Microsoft Office Suite and the ability to learn new databases/programs quickly
- Experience working with open-end, closed-end, and exchange-traded funds is a plus
- Knowledge of Diligent Boards software is a plus
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 over 4,000 employees across 57 locations operating in 26 countries 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, Tennessee