- Wells Fargo (New York, NY)
- …Fargo is seeking **Senior** **Lead Compliance Officers** in Corporate Risk as part of ** Equity Sales and Trading Compliance .** Learn more about the ... career areas and business divisions at wellsfargojobs.com . Equities Sales and Trading Compliance provides coverage for Cash, Derivatives, Electronic … 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
- BMO Financial Group (New York, NY)
- …to clients around the world. #bmocapitalmarkets Provides a markets-based suite of sales and trading solutions to Institutional, Corporate, and Retail clients. ... across asset classes including: debt, foreign exchange, interest rate, credit, equity , securitization, and commodities. Provides competitive pricing to all clients… more
- Citigroup (New York, NY)
- The Trader is a senior level position responsible for overseeing a trading book and managing book risk, in coordination with the Trading team. The overall ... on budgeted revenues, and to coordinate with key stakeholders to develop the trading franchise. **Responsibilities:** + Oversee a trading book as a Senior… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role **Job Description:** The Director Sales and Trading TDS develops the Banks Sales , Trading , ... bank policy information and strategy between your product head and relevant trading personnel + Understands and complies with TD Securities (USA) Policies,… 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 + ... **Citi's efforts with compliance with regulatory guidelines require the successful candidate...**** **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
- 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 - Healthcare Services. Learn...markets and advisory solutions, including a full complement of sales , trading and research capabilities, to corporate,… 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
- PNC (New York, NY)
- …position. **Preferred Skills** Client Relations, Corporate Finance, Decision Making, Equity Trading Systems, Financial Accounting, Investments, Investment ... Financial Engineering, Internal Sales and Marketing, Knowledge Of Customers, Sales Function, Trading **Work Experience** Roles at this level typically… 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
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... Director, Control Room - GBM&T Compliance **Requisition ID:** 201053 **Salary Range:** 174,700.00 -...Banking, Mergers & Acquisitions, Corporate Banking, Merchant Banking, Loan Sales and Trading and control room functions,… more
- Citigroup (New York, NY)
- …individual investors we serve. The breadth, depth, and strength of our underwriting, sales and trading , and distribution capabilities span asset classes and ... Markets Front Office environment preferable. + Knowledge of market risk, global markets trading products and services, eg Fixed Income, Equity , Currencies &… 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 ... use):** 12 **S&P Global Ratings - Commercial** **The** **Role:** **Director, Sales : Project Finance & Infrastructure** **The Team:** The S&P Global Commercial… 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