... Legal, Compliance and Investor Relations Principal responsibilities include the following: * Responsible for assisting in the price verification of fixed income securities, as well as over the ...
... Legal, Compliance and Investor Relations Principal responsibilities include the following: * Responsible for assisting in the price verification of fixed income securities, as well as over the ...
... Legal, Compliance and Investor Relations Principal responsibilities include the following: * Responsible for assisting in the price verification of fixed income securities, as well as over the ...
... Legal, Compliance and Investor Relations Principal responsibilities include the following: * Responsible for assisting in the price verification of fixed income securities, as well as over the ...
... Legal, Compliance and Investor Relations Principal responsibilities include the following: * Responsible for assisting in the price verification of fixed income securities, as well as over the ...
... Legal, Compliance and Investor Relations Principal responsibilities include the following: * Responsible for assisting in the price verification of fixed income securities, as well as over the ...
Compliance - Salt Lake City - Vice President, Business Unit Compliance- 10076305
Salt Lake City, UT · On-site
$121K - $163K/yr
... derivatives, fixed income, commodities, and currencies as it applies to compliance and/or ... regulatory risks to review surveillance alerts for disposition or escalation; detection logic and ...
Compliance - Salt Lake City - Vice President, Business Unit Compliance- 10076305
Salt Lake City, UT · On-site
$121K - $163K/yr
... derivatives, fixed income, commodities, and currencies as it applies to compliance and/or ... regulatory risks to review surveillance alerts for disposition or escalation; detection logic and ...
Compliance - Salt Lake City - Vice President, Business Unit Compliance- 10076305
Salt Lake City, UT · On-site
$121K - $163K/yr
... derivatives, fixed income, commodities, and currencies as it applies to compliance and/or ... regulatory risks to review surveillance alerts for disposition or escalation; detection logic and ...
Compliance - Salt Lake City - Vice President, Business Unit Compliance- 10076305
Salt Lake City, UT · On-site
$121K - $163K/yr
... derivatives, fixed income, commodities, and currencies as it applies to compliance and/or ... regulatory risks to review surveillance alerts for disposition or escalation; detection logic and ...
... derivatives, fixed income, commodities, and currencies as it applies to compliance and/or ... regulatory risks to review surveillance alerts for disposition or escalation; detection logic and ...
... derivatives, fixed income, commodities, and currencies as it applies to compliance and/or ... regulatory risks to review surveillance alerts for disposition or escalation; detection logic and ...
Operations Manager
Salt Lake City, UT · On-site
$100K - $125K/yr
... fixed income, derivatives, structured products, prime brokerage, and securities financing. This role sits at the intersection of Compliance, Technology, Legal, and Front Office Operations and ...
Operations Manager
Salt Lake City, UT · On-site
$100K - $125K/yr
... fixed income, derivatives, structured products, prime brokerage, and securities financing. This role sits at the intersection of Compliance, Technology, Legal, and Front Office Operations and ...
Investment Portfolio Analyst
$68K - $100K/yr
Demonstrates compliance with all bank regulations for assigned job function and applies to ... Working knowledge of fixed income instruments commonly held by banks, including U.S. Treasuries ...
Investment Portfolio Analyst
$68K - $100K/yr
Demonstrates compliance with all bank regulations for assigned job function and applies to ... Working knowledge of fixed income instruments commonly held by banks, including U.S. Treasuries ...
Operations Manager
$100K - $125K/yr
... fixed income, derivatives, structured products, prime brokerage, and securities financing. This role sits at the intersection of Compliance, Technology, Legal, and Front Office Operations and ...
Operations Manager
$100K - $125K/yr
... fixed income, derivatives, structured products, prime brokerage, and securities financing. This role sits at the intersection of Compliance, Technology, Legal, and Front Office Operations and ...
Global Compliance Our division prevents, detects and mitigates compliance, regulatory and ... Be familiar with business flows across Equities and Fixed Income and challenge existing assumptions ...
Global Compliance Our division prevents, detects and mitigates compliance, regulatory and ... Be familiar with business flows across Equities and Fixed Income and challenge existing assumptions ...
Global Compliance Our division prevents, detects and mitigates compliance, regulatory and ... Be familiar with business flows across Equities and Fixed Income and challenge existing assumptions ...
Global Compliance Our division prevents, detects and mitigates compliance, regulatory and ... Be familiar with business flows across Equities and Fixed Income and challenge existing assumptions ...
Global Compliance Our division prevents, detects and mitigates compliance, regulatory and ... Be familiar with business flows across Equities and Fixed Income and challenge existing assumptions ...
Global Compliance Our division prevents, detects and mitigates compliance, regulatory and ... Be familiar with business flows across Equities and Fixed Income and challenge existing assumptions ...
Asset Management Public-Trade Management - Shared-Salt Lake City-Vice President
Salt Lake City, UT · Hybrid
... Fixed Income, FX, and Derivatives). As a key leader, the VP ensures operational excellence ... Regulatory Compliance: Ensure strict adherence to global regulatory reporting requirements (e.g ...
Asset Management Public-Trade Management - Shared-Salt Lake City-Vice President
Salt Lake City, UT · Hybrid
... Fixed Income, FX, and Derivatives). As a key leader, the VP ensures operational excellence ... Regulatory Compliance: Ensure strict adherence to global regulatory reporting requirements (e.g ...
Asset Management Public-Trade Management - Shared-Salt Lake City-Vice President
Salt Lake City, UT · On-site
... Fixed Income, FX, and Derivatives). As a key leader, the VP ensures operational excellence ... Regulatory Compliance: Ensure strict adherence to global regulatory reporting requirements (e.g ...
Asset Management Public-Trade Management - Shared-Salt Lake City-Vice President
Salt Lake City, UT · On-site
... Fixed Income, FX, and Derivatives). As a key leader, the VP ensures operational excellence ... Regulatory Compliance: Ensure strict adherence to global regulatory reporting requirements (e.g ...
Asset Management Public-Trade Management - Shared-Salt Lake City-Vice President
Salt Lake City, UT · Hybrid
... Fixed Income, FX, and Derivatives). As a key leader, the VP ensures operational excellence ... Regulatory Compliance: Ensure strict adherence to global regulatory reporting requirements (e.g ...
Asset Management Public-Trade Management - Shared-Salt Lake City-Vice President
Salt Lake City, UT · Hybrid
... Fixed Income, FX, and Derivatives). As a key leader, the VP ensures operational excellence ... Regulatory Compliance: Ensure strict adherence to global regulatory reporting requirements (e.g ...
... Fixed Income Currencies and Commodities, Investment Banking including prime services * Asset ... Compliance & Legal team is responsible for global audits related to Compliance processes including ...
... Fixed Income Currencies and Commodities, Investment Banking including prime services * Asset ... Compliance & Legal team is responsible for global audits related to Compliance processes including ...
... Fixed Income Currencies and Commodities, Investment Banking including prime services * Asset ... Compliance & Legal team is responsible for global audits related to Compliance processes including ...
... Fixed Income Currencies and Commodities, Investment Banking including prime services * Asset ... Compliance & Legal team is responsible for global audits related to Compliance processes including ...
... Fixed Income Currencies and Commodities, Investment Banking including prime services * Asset ... Compliance & Legal team is responsible for global audits related to Compliance processes including ...
... Fixed Income Currencies and Commodities, Investment Banking including prime services * Asset ... Compliance & Legal team is responsible for global audits related to Compliance processes including ...
... Fixed Income Currencies and Commodities, Investment Banking including prime services * Asset ... Compliance & Legal team is responsible for global audits related to Compliance processes including ...
... Fixed Income Currencies and Commodities, Investment Banking including prime services * Asset ... Compliance & Legal team is responsible for global audits related to Compliance processes including ...
... Fixed Income Currencies and Commodities, Investment Banking including prime services * Asset ... Compliance & Legal team is responsible for global audits related to Compliance processes including ...
... Fixed Income Currencies and Commodities, Investment Banking including prime services * Asset ... Compliance & Legal team is responsible for global audits related to Compliance processes including ...
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 Utah? For Fixed Income Compliance jobs in Utah, the most frequently searched job titles are:
What job categories do people searching Fixed Income Compliance jobs in Utah look for? The top searched job categories for Fixed Income Compliance jobs in Utah are:
What cities in Utah are hiring for Fixed Income Compliance jobs? Cities in Utah with the most Fixed Income Compliance job openings:
Other
Posted 29 days ago
Goldman Sachs rating
8.3
Based on 27 frontline employees who took The Breakroom Quiz
48th of 170 rated banks
Job description
Summary:
- Work within the AWM (Asset & Wealth Management) Public Product Control team, which is responsible for oversight of equity, fixed income, alternatives and derivative valuation across mutual funds, separate accounts and hedge funds
- Responsible for the price verification of investments; including fixed income, equity and derivatives
- Interact with Controller's management, the portfolio management team and traders, as well as support areas such as Operations, Risk, Technology, Fund Accounting, Legal, Compliance and Investor Relations
Principal responsibilities include the following:
- Responsible for assisting in the price verification of fixed income securities, as well as over the counter ("OTC") derivative positions held in the portfolios, including interest rate swaps, credit default swaps, equity and FX options
- Assist in the development of a valuation and price verification framework for newly traded securities, new funds and alternative products, in conjunction with key federation stakeholders (IT, Operations, Legal, Compliance, etc.) and the Portfolio Management/Trading teams
- Regular interaction with independent fund administrators to resolve daily valuation questions for securities (equities, fixed income and OTC derivatives) held in daily mutual funds, which includes making fair valuation recommendations
- Preparation of management reports and key valuation metrics for the Business, Controllers Management and Fund Boards
- Coordinate an annual vendor due diligence process with independent third party pricing vendors and brokers
- Responsible for reviewing and updating the Valuation Policy at least annually
Basic Qualifications:
- Accounting, Economics or Finance degree preferred, but not required
- CFA, CPA or work towards the designations preferred, but nor required
- 2-5 years experience in the financial markets and the investment management industry is preferred
- Requires a willingness and drive to understand valuation methods for the types of securities mentioned above
- Strong interpersonal (verbal and written communication) skills
- Ability to work in a team environment
- Strong analytical and organizational skills
- Ability to take initiative and work efficiently
- Proficiency in Microsoft Desktop Applications (Excel, PowerPoint, Word) and AI Tools, including Copilot
What Goldman Sachs employees say
Pay
Benefits
Hours and flexibility
Workplace
Get the full story on Breakroom
About Goldman Sachs
Sourced by ZipRecruiter
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world. We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs.
Industry
Finance and insurance
Company size
10,000+ Employees
Headquarters location
New York, NY, US
Year founded
1869