- Scotiabank (New York, NY)
- Director, Leveraged Credit Sales , Sales / US FICC / Credit Sales & Trading **Requisition ID:** 235201 **Salary Range:** 300,000.00 - 300,000.00 ... Credit Sales , Sales / US FICC / Credit Sales & Trading...of day-to-day business controls. Understand that operational risk, regulatory compliance risk, AML/ATF risk, and conduct risk requirements must… more
- TD Bank (New York, NY)
- …with key stakeholders across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...This incumbent will ensure that surveillance alerts related to trading activities of firm employees ( sales and… more
- Citizens (Stamford, CT)
- …M&A advisory, investment banking, corporate finance, equity research, and sales and trading . Position Overview We are seeking a Compliance Officer to support ... Surveillance & Monitoring: Conduct reviews of research reports, deal announcements, and trading activities for compliance with regulatory and internal standards.… more
- TD Bank (New York, NY)
- …on FICC derivatives. The Transparency team works directly with global sales / trading /quant teams on the development of applications incorporating pricing and ... globally by Front Office sales and traders and are critical to TD's trading activities. This is a global team with engineers in Toronto, London, New York, and… more
- Scotiabank (Dallas, TX)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... to new products and services offered by Scotiabank SBUS capital markets trading businesses. Assists in implementing industry best practices and developing regulatory… more