- SMBC (New York, NY)
- …markets products (interest rate swaps, fixed income securities) + Good understanding of electronic trading + Experience related to auditing Capital Markets and ... audit coverage of Front Office and associated support functions including Sales, Trading , risk management and Operations within the Internal Audit Department. The… more
- Citigroup (New York, NY)
- …across the different product ecosystems. **Responsibilities:** + Originate and source new electronic trading relationships to increase breadth of clients doing ... also be focused on growth with key existing clients trading cash electronic products. Salesperson will also...in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order… more
- Scotiabank (New York, NY)
- …and/or Sell Side experience required + Strong working knowledge of Equities, Electronic Trading , Equity Research, Financing and Balance Sheet, Securities Lending ... Director , Equity Sales Trader; Global Banking & Markets;...financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign… more
- S&P Global (Englewood, CO)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... experienced analyst to join its Structured Finance Ratings group as an Associate Director in the Structured Credit practice. The practice provides credit ratings of… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... 13 **The Team:** S&P Global Ratings is seeking a ** Director ** to join its Structured Finance practice, who will...global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- S&P Global (Englewood, CO)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... Team** : S&P Global Ratings is seeking an Associate Director to join its Structured Finance practice, which provides...global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... the Role:** **Grade Level (for internal use):** 14 **The Role:** Sr. Director of Software Engineering - Content Management & Publishing **Location:** New York,… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... the Role:** **Grade Level (for internal use):** 14 **The Role** : Sr. Director - Data Digitization and Automation - Analytical Portfolio **Location** : New York,… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... **About the Role:** **Grade Level (for internal use):** 12 **Associate Director , Financial Institutions Ratings** **The Team:** The Financial Institutions (FI) team… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... **About the Role:** **Grade Level (for internal use):** 12 **The Role: Director , Sales: Project Finance & Infrastructure** **The Team:** The S&P Global Commercial… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... to track model performance, data quality, and infrastructure. + **Security and Compliance :** Implement security measures and compliance standards to protect… more
- BMO Financial Group (New York, NY)
- …an equivalent combination of education and experience. + Strong experience in equities, electronic trading , and fixed income compliance strongly preferred + ... The BMO Capital Markets Compliance team is hiring for a CCO of...include. but are not limited to, fixed income, equities, electronic trading , prime brokerage, and investment banking.… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… more
- Scotiabank (New York, NY)
- Director , Equities Product Management **Requisition ID:** 232245 **Salary Range:** 300,000.00 - 300,000.00 _Please note that the Salary Range shown is a guideline ... winning team, committed to results, in an inclusive and high-performing culture. **Title: Director , Global Cash Equities & US Equities COO - New York, NY**… more
- Scotiabank (Dallas, TX)
- Director , Senior Legal Counsel **Requisition ID:** 235186 **Salary Range:** 204,000.00 - 256,325.00 _Please note that the Salary Range shown is a guideline only. ... financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange… more
- TD Bank (New York, NY)
- …operating effectively and is also fit for purpose. The role reports to the Director , Global Markets Supervision ( Electronic Trading ), and will provide ... Firm policies to Electronic and automated (Algo) trading and sales activities in coordination with Compliance...guidance on Trading Desk Policies. + Assists E- Trading GMS Director with maintenance and enhancements… more
- CalSTRS (Sacramento, CA)
- …of policies around information governance structure policy development supporting compliance programs and enforcing internal controls; enabling information access, ... of Legal Ethics & Accountability (OLEA) monitors and maintains compliance functions at CalSTRS in accordance with applicable laws...conflict of interest. Under the general direction of the Director of EIM & Legal Ops, the Staff Services… more
- TD Bank (New York, NY)
- …alerts related to trading activities of firm employees (sales and trading ) and clients, and employee electronic communications alert, are reviewed ... engages with key stakeholders across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... **About the Role:** **Grade Level (for internal use):** 11 **Job Description: Lead/Associate Director of ML & MLOps Engineering - Generative AI** **About the Role:**… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... within one of our specialized sector teams. Under the guidance of a director , a qualified senior analyst typically maintains direct analytical responsibility for a… more
Related Job Searches:
Compliance,
Director,
Electronic,
Electronic Trading,
Trading,
Trading Compliance