- SMBC (New York, NY)
- …lead audit coverage of Front Office and associated support functions including Sales , Trading , risk management and Operations within the Internal Audit ... regulatory expectations related to market activities including Dodd Frank, Volcker and Trading supervision Expert knowledge of audit techniques, risk, and… more
- TD Bank (New York, NY)
- …sales , trading and origination activities is a core competency. The Director Trading Business Management TDS is responsible for the planning, direction, ... and coordination of trading operations within The Bank. This position is also...other Divisions, such as Compliance, Legal, Risk and Internal Audit as well as support regulatory interactions + Contributing… more
- Citigroup (New York, NY)
- …a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible for check ... regulatory matters as required. Serves as liaison with regulatory examiners, Internal Audit , and external auditors on critical Compliance issues and oversees the… more
- Citigroup (New York, NY)
- …also work with the broader franchise across Global Markets, including: High Touch Cash Sales Trading , Program Trading , Prime Brokerage, Advisory and ... cash trading needs - working closely with Sales Trading and Execution Advisory Services team...functions such as Legal, Compliance, Market and Credit Risk, Audit , Finance in order to ensure appropriate governance and… more
- Citigroup (New York, NY)
- **Senior XVA Trader - Rates & Currencies LATAM and Spread Products** **Markets Counterparty Trading & Risk** **Level - C15 / Director ** Counterparty Trading ... & Risk is a global business including XVA Trading , In-Business Credit Risk Management and Capital Management. XVA...targets more efficiently. **Job Overview:** + This New York-based Director role will be managing a team of traders… more
- Citigroup (New York, NY)
- The FX SPOT Trader is a senior level position responsible for overseeing a trading book and managing book risk, in coordination with the Trading team. The ... and to coordinate with key stakeholders to develop the trading franchise. We are looking for a multi-faceted and...franchise and connect with key clients. + Coordinate with Sales , Research, and other organizations across Markets & Securities… more
- Citigroup (New York, NY)
- The Director , Equity Derivatives Sales - PEF & AM North America is a senior-level position responsible for selling equity derivatives to Real Money clients, ... Insurance companies. The Director Salesperson also serves as an intermediary in trading for clients. The overall objective of this role is to act as strategic… more
- Scotiabank (Dallas, TX)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... priorities, and emerging risks to the Bank. + Supporting the GBM&T Audit COO Director and Senior Manager in the administration, coordination, and facilitation of… more
- Scotiabank (Dallas, TX)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... will be required to work as part of the team and assist the Director , US IT Audit to provide audit services over the US IT environment. The incumbent… more
- TD Bank (New York, NY)
- …allowing the Business to grow and evolve and "get to yes" faster. The Director Trading Business Management TDS is responsible for the planning, direction, and ... impact assessment and gap analysis, deliver requirements, control design, audit and remediation. In addition, BRI supports the 6...guidance + Draft procedures and advise on procedures for sales and trading ; map against compliance policies… more
- TD Bank (New York, NY)
- …professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance, and Risk ... for this role. **Job Description:** TD Securities Compliance team is seeking a Director -level candidate to lead the Surveillance Data Quality Team. This is a global… 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 ... and to coordinate with key stakeholders to develop the trading franchise. **Responsibilities:** + Oversee a trading ...franchise and connect with key clients + Coordinate with Sales , Research, CM and other organizations across Markets and… more
- Citigroup (New York, NY)
- …Banking team. The Director Salesperson also serves as an intermediary in trading for clients. The overall objective of this role is to act as strategic ... and raising capital for clients. **Responsibilities:** + Refine and implement sales /marketing strategy to improve Citi's client footprint and maximize associated… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... Director , US Deputy CISO **Requisition ID:** 225315 **Salary...groups or advisors in various business areas (Internal Controls, Audit , Cyber Security, Privacy, Fraud, Resilience, Availability) to spearhead… more
- Mizuho Corporate Bank (New York, NY)
- …span corporate and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit ... Market Treasury/Money Markets & Funding - Director Key Responsibilities . Managing the bank's funding...with business users including treasury back office, Risk, and Audit . . Servicing business user inquiries and performing ongoing… more
- Citigroup (New York, NY)
- …needs of the business, which involves close work and co-ordination with the respective trading desks and functions, as well as our partners in IT and the various ... and risk-management + Create, implement, and support quantitative models for the trading business leveraging a wide variety of mathematical and computer science… more
- Mizuho Corporate Bank (New York, NY)
- …span corporate and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit ... key stakeholders in Front Office, Technology, Finance, Treasury, Regulatory Reporting and Audit (6) Delivering top tier customer service to all external and internal… more
- TD Bank (New York, NY)
- …Global Head of Surveillance. This incumbent will ensure that surveillance alerts related to trading activities of firm employees ( sales and trading ) and ... professionals engages with key stakeholders across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance, and Risk… more
- JPMorgan Chase (Boston, MA)
- …regional employees as required by firm policy and review and resolve personal trading policy violations with Compliance and Regional Director as required ... Review middle markets, institutional, and retail customer account activity, sales practices, suitability, documents, marketing material and customers' statements to… more
- Huntington National Bank (Columbus, OH)
- …AML compliance with a focus on Investment Banking, Public Finance, M&A as well as Sales and Trading activities. + Oversight and Governance of OCC Rules specific ... Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical role in the execution and implementation of the Compliance… more
