- BP Americas, Inc. (New York, NY)
- …of that too. Together we continue to grow as the world's leading energy company! The Compliance Manager is a key member of the Ethics & Compliance ("E&C") ... Responsibilities: ** + The position reports to the Senior Compliance Manager and is primarily responsible for...regulations and bp policies and procedures. + Conduct proactive compliance risk assessments and reviews of trading … more
- Bloomberg (New York, NY)
- Electronic Trading Sales (ETS) Account Manager , Enterprise Sales - Bloomberg Financial Solutions **New York, NY** Posted Apr 12, 2024 - Requisition No. 124540 ... understanding of the impact of regulation, market structure and compliance on electronic trading + Good understanding of the eFX vendor competitive landscape… more
- BMO Financial Group (New York, NY)
- …around the world. #bmocapitalmarkets Provides a markets-based suite of sales and trading solutions to Institutional, Corporate, and Retail clients. Offers a full ... provide liquidity to BMO's Leveraged Credit Platform investor base + Generate secondary trading revenue and prudently manage balance sheet risk by working with BMO… more
- JPMorgan Chase (New York, NY)
- …functions to promote consistent operational risk practices and Control programs. As a Control Manager - NA Rates Trading - Associate, you will be responsible for ... management capabilities across a full spectrum of linear and non-linear trading products. **Job Responsibilities** + **Oversight and Governance -** In partnership… more
- TD Bank (New York, NY)
- …provide you more specific details for this role **Job Description:** The VP Sales and Trading TDS develops an institutional investor base in the US to fund the Bank ... firm's procedures + Understands and complies with TD Policies, regulatory and compliance requirements + Ensures that transactions are fully documented and processed… more
- JPMorgan Chase (Jersey City, NJ)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...a Vice President on our Market Risk Average Daily Trading Volume (ADTV) Analytics team, you will be responsible… more
- JPMorgan Chase (New York, NY)
- North America Credit Trading acts as a market maker in corporate credit products to the largest asset manager and investor clients. **Job Summary:** As an ... risk and P/L are correctly captured on T, partners in other groups ( Compliance , Market Risk, Product Control) are alerted to any potential concerns + Monitoring… more
- Bank of America (New York, NY)
- Compliance & Op Risk Manager - EQ/Futures New York, New York;Charlotte, North Carolina **Job Description:** At Bank of America, we are guided by a common purpose ... improvements in venue and product coverage by comparing transactional data from trading systems to surveillance alert generation. + Serve as technical liaison for… more
- Scotiabank (New York, NY)
- Senior Manager , Compliance Testing **Requisition ID:** 200274 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a guideline ... to FINRA related regulations and branch examinations. + Experience/background in compliance applicable to broker-dealer, institutional trading & sales,… more
- Scotiabank (New York, NY)
- Manager , Compliance Testing **Requisition ID:** 200276 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a guideline only. ... should involve compliance testing or audit. + Experience/background in compliance applicable to broker-dealer internal inspections, institutional trading &… more
- Citigroup (New York, NY)
- …serve. The breadth, depth, and strength of our underwriting, sales and trading , and distribution capabilities span asset classes and currencies, sectors and ... the business including leading critical control initiatives to mitigate risk in Trading , Financial Crimes and Conduct while ensuring strong governance to measure,… more
- Bloomberg (New York, NY)
- Product Manager - Credit Markets **New York, NY** Posted May 28, 2024 - Requisition No. 125634 Bloomberg Trade Order Management System (TOMS) is an industry leading, ... comprehensive fixed income and derivatives solution for the trading community. For sell-side firms, Bloomberg Trade Order Management Solutions (TOMS) delivers… more
- TD Bank (New York, NY)
- …and market structure preferred * Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Business * Strong knowledge ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $190,000 - $225,000 USD TD is...and Exchange traded Equities, Options and electronic sales & trading . This role will support the integration of a… more
- Bank of America (New York, NY)
- Volcker EAC Compliance and Operational Risk Manager New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make ... has financial services experience with a knowledge of markets, compliance risk management practices, and trading products....**Volcker EAC** * The Enterprise Area of Coverage (EAC) Compliance & Operational Risk (C&OR) Manager is… more
- Citigroup (Jersey City, NJ)
- Serves as a Control Room Manager within Citi's Independent Compliance Risk Management (ICRM) function responsible for establishing internal strategies, policies ... effective implementation of controls to mitigate insider dealing risk, providing Compliance advice and guidance related to associated regulation and internal… more
- Trexquant Investment (Stamford, CT)
- …dynamic environment. We're looking for someone to join our team and become the manager of regulatory compliance for a systematic investment firm (for private ... Trexquant is a growing systematic fund manager with a core team of highly accomplished...veteran senior staff. This opportunity is ideal for a compliance professional who strives to work on diverse projects… more
- Bank of America (New York, NY)
- Global Markets Risk Manager (VP) - Mortgages and Securitized Products New York, New York **Job Description:** At Bank of America, we are guided by a common purpose ... stress testing, designing limit frameworks and interfacing with the trading desk and other risk and support groups (ie,... desk and other risk and support groups (ie, Compliance , Finance, Operations, etc.). This position is in the… more
- JPMorgan Chase (New York, NY)
- The Digital Markets Business Manager will provide end-to-end support in driving a number of key initiatives across crucial Digital Markets and E- trading ... to execute and implement on business strategy. As a Digital Markets Business Manager within our Business Management team, you will provide end-to-end support in… more
- TD Bank (New York, NY)
- …you more specific details for this role **Job Description:** The Director Sales and Trading TDS develops the Banks Sales, Trading , & Underwritings in New York, ... bank policy information and strategy between your product head and relevant trading personnel + Understands and complies with TD Securities (USA) Policies,… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... portfolios including trade surveillance, e-communications and voice surveillance, employee trading , outside activities surveillance, and information barrier surveillance. **Responsibilities:**… more