- 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
- Wells Fargo (New York, NY)
- …Emerging Markets (EM) FX options trading initiative in NY which encompasses trading , sales relationships, and client pricing. + Perform daily risk management ... Executive Director to join our FX Options Emerging Markets Trading team. This position would involve working with a...trends impacting FX business + Technical expertise in regulatory, compliance , and risk management issues. + Ability to analyze… 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
- 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 -Vice President - Internet sector. 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
- Wells Fargo (New York, NY)
- …within the eFX Product team, the eFX Systematic Market Making team, Linear FX trading desks, E- Sales , and COO's to collectively enhance the overall electronic ... Macro, and CIB. Directly accountable for ensuring adherence to compliance , governance, regulations and policies. An ideal candidate will...+ Effectively communicate eFX related issues to clients, platforms, sales , and trading + Be a part… 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
- 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)
- …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
- 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