- Russell Tobin & Associates (Jersey City, NJ)
- …the ability to persuade and influence stakeholders at the team level.* Compliance Culture and Conducto Takes full responsibility for personal actions and ... organization with entities in Europe and Asia.The functional scope covers both US Equity Options and Listed derivatives from the execution to Post Trade Allocation.… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... Director, Equities Sales Trading **Requisition ID:** 196674 **Salary...in an inclusive and high-performing culture. **Title** : Director, Equity Sales Trader; Global Banking & Markets;… more
- Citigroup (New York, NY)
- …Derivatives etc. and offer certain client full sales trading plus trading coverage + Ensure compliance with all relevant regulations and internal policy ... The Prime Services Sales Trader is a senior-level position responsible for...to ownership of prominent institutional accounts + Knowledge of equity trading , different trading strategies,… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... The incumbent will ensure all activities conducted are in compliance with governing regulations, internal policies and procedures. The...new and existing lines of business + Collaborate with Equity Sales and Trading team… more
- Scotiabank (New York, NY)
- …Sales , US in New York, NY to contribute to the overall success of the GBM Equity Sales and Trading business in the US ensuring specific individual goals, ... Director, Canadian Equity Sales , US **Requisition ID:** 196351...a timely and efficient manner. Work in partnership with sales , research, and trading professionals to deepen… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... compliance support for equities and fixed income securities trading and sales businesses by advising on...the businesses. + Communicate with sales and trading management and US Compliance personnel on… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... in the meetings as assigned. + Assist with online and in-person compliance training for sales and trading staff and related support personnel. + Review… 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
- 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)
- …Business Control team and supports the broader Equities business that includes Cash Trading , Derivatives Trading , Equity Finance, Equity Advisory ... especially proud of our tangible, meaningful commitment to diversity, equity , and inclusion in the workplace. When it comes...will assist with support of the Equities Research, Research Sales and Economics and will require a candidate with… more
- Scotiabank (New York, NY)
- …and differentiated views. Deliver presentations to institutional clients and the internal sales and trading teams. Follow overall market news and evaluate ... Director, Equity Research Analyst **Requisition ID:** 194865 **Salary Range:**...and management of companies under coverage group. Liaise with sales , trading and other areas of the… more
- TD Bank (New York, NY)
- …who can 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 ... decisions + Develops and maintains contacts + Responsible for executing the ongoing trading exception report reviews for Money Markets Sales NY + Understands… more
- Citigroup (New York, NY)
- …analysis in the industry + Enabling commercialization of the team's research product by Citi's equity sales and trading platform globally + Perform ECM and ... will include contact with Citi's sales and trading platform and institutional equity clients with...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… 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
- 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
- Bloomberg (New York, NY)
- …Reg ATS and market regulation + Strong understanding of fixed income and/or equity products + Experience drafting compliance manuals and procedures + Proficiency ... Senior Compliance Officer - Bloomberg Tradebook - Legal & ...The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we… 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 ... additional compensation such as an annual incentive bonus or sales commission plan. This role is eligible to receive...monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance… more
- CIBC (New York, NY)
- …Income Sales ), significantly impacts the firm's bottom line (ie, trading revenue, deal flow, managing capital, client impact, external rankings, risk ... visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing** The Director of Credit Sales within Fixed Income Sales (under the guidance of… more
- Neuberger Berman (New York, NY)
- …degree and industry designations such as MBA, CFA, FRM preferred + Fund Compliance , front office trading , Operations or Audit experience also highly desirable ... individual investors worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity and commodities,… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... Manager, CIB & Research Compliance Officer **Requisition ID:** 193847 **Salary Range:** 85,700.00...lines under coverage include Corporate & Investment Banking (CIB), Equity Capital Markets (ECM), Debt Capital Markets (DCM), Global… more
