- Russell Tobin & Associates (Jersey City, NJ)
- …the ability to persuade and influence stakeholders at the team level.* Compliance Culture and Conducto Takes full responsibility for personal actions and ... organization with entities in Europe and Asia.The functional scope covers both US Equity Options and Listed derivatives from the execution to Post Trade Allocation.… more
- Wells Fargo (New York, NY)
- …the Risk and Control Self-Assessment (RCSA). A strong understanding of Electronic Trading compliance and regulatory requirements is crucial for this role ... **About this role:** Wells Fargo is seeking an **Electronic Trading , Credit Sales & Trading , and Model Management Control Management Director** as part of… more
- Citigroup (New York, NY)
- …in the Electronic Trading domain and be part of Citi's growing Equity Trading franchise. Responsibilities: + Improve Algorithmic Trading Algorithms by ... control issues with transparency. Knowledge/Experience: + Good understanding of US Equity Algorithmic Trading and Market Microstructure. Knowledge of ETF… more
- Morgan Stanley (New York, NY)
- …directly with a diverse set of stakeholders including: Sales and Trading , Business Control Units, Desk Strategists, Compliance , Internal Audit, Technology, ... cover electronic trading across all asset classes including cash, derivatives, equity and fixed income products. The eTrading team within FRM oversees potential… more
- Citigroup (New York, NY)
- …Citi colleagues + Offer certain client full sales trading plus trading coverage and ensure compliance with all relevant regulations and internal policy + ... in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order...**** **Qualifications:** + 12+ years of sales trading experience + In-depth knowledge of equity … more
- SitusAMC (New York, NY)
- …Control, Risk Control, Operations, Legal and Compliance , as well as working closely with Sales & Trading . As such, it is key to the smooth and efficient ... activities of the Equity Derivatives business across Sales , Structuring & Trading as well as...business face-off with Legal, Risk, Operations, HR, PCG, Audit, Compliance , CCO, and ORM teams, ensuring we operate an… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... in the United States. The Markets Compliance team provides compliance support to trading and sales businesses to ensure business strategies, plans and… more
- TD Bank (New York, NY)
- …* Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Business * Strong knowledge of applicable ... in OTC and Exchange traded Equities, Options and electronic sales & trading . This role will support...their current activities. * Maintain and Oversee the Firm's Equity & Options Trading activities * Assist… more
- HSBC (New York, NY)
- … trading limits. Maintain appropriate and smooth communication with Structuring, Sales , and other trading teams. Enhance the current hedging processes. ... **Description** ** Equity Derivatives Trader, HSBC Bank USA NA, New...pricing, trade booking processes, risk management, inventory management, and compliance ; * Trading within non-linear products (volatility… more
- Wells Fargo (New York, NY)
- …strong relationships not only with Equity Research colleagues, but also with Equity Sales , Cash Trading , Derivatives, Wealth Management, and others. + ... **About this role:** Wells Fargo is seeking an Equity Research Associate - REITs. Learn more about...markets and advisory solutions, including a full complement of sales , trading and research capabilities, to corporate,… more
- Wells Fargo (New York, NY)
- …Business Control team and supports the broader Equities business that includes Cash Trading , Derivatives Trading , Equity Finance, Equity Advisory ... especially proud of our tangible, meaningful commitment to diversity, equity , and inclusion in the workplace. When it comes...will assist with support of the Equities Research, Research Sales and Economics and will require a candidate with… more
- HSBC (New York, NY)
- …and executing transactions covered by the team. Liaise with Global Markets teams in sales , research and trading to deliver capital markets advice to our ... **Description** **Vice President in Equity Capital Markets, HSBC Securities (USA) Inc., New...investors * Investor management during marketing * Experience with sales , research and trading to deliver capital… more
- Scotiabank (New York, NY)
- …and differentiated views. Deliver presentations to institutional clients and the internal sales and trading teams. Follow overall market news and evaluate ... Director, Equity Research Analyst **Requisition ID:** 194865 **Salary Range:**...and management of companies under coverage group. Liaise with sales , trading and other areas of the… more
- Wells Fargo (New York, NY)
- …banking, capital markets and advisory solutions, including a full complement of sales , trading and research capabilities, to corporate, government and ... media and manage incoming media inquiries and requests for Equity Research + Understand compliance regime and...and requests for Equity Research + Understand compliance regime and execute media policies and procedures, including… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... + Experience/background in compliance applicable to broker-dealer, institutional trading & sales , investment banking, commercial banking, investment… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... in compliance applicable to broker-dealer internal inspections, institutional trading & sales , investment banking, futures commission merchant, swap… more
- PNC (New York, NY)
- …position. **Preferred Skills** Client Relations, Corporate Finance, Decision Making, Equity Trading Systems, Financial Accounting, Investments, Investment ... Effective Communications, Financial Analysis, Financial Engineering, Financial Services Industry, Internal Sales and Marketing, Sales Function, Trading … more
- Citigroup (New York, NY)
- …will be expected to foster strong relationships with trading , research, ICM, compliance , credit partners and other sales teams. On a day-to-day basis, this ... (eg macro hedge funds, multi strat. funds, credit and equity funds and real money accounts) primarily located in...the client base - which should translate into incremental sales credit and trading revenues for the… more
- Morgan Stanley (New York, NY)
- …Risk. The individual will be responsible for reviewing IED sales and trading desk activities to help ensure compliance with applicable rules and regulations ... an Analyst or Associate level position within the Institutional Equity Risk Management team, specifically within the Regulatory Control...in Compliance , Risk Management and / or Trading Support, focused on sales and … more
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for...Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to detect trading… more
