- Morgan Stanley (New York, NY)
- …Primary Responsibilities This individual will provide advisory compliance support for ISG Equity Sales and Trading , covering derivatives and sales . ... other Morgan Stanley sponsored benefit programs. **Job:** ** Compliance * **Title:** * Equity Sales and Trading Compliance Vice President* **Location:**… more
- Citizens (New York, NY)
- …and options trading . + Develop, implement, and maintain policies and procedures across equity sales and trading . + Analyze regulatory changes as they ... relate to equity sales and trading , and...priced securities and market manipulation. + Regularly engage with trading desk, operations, compliance , risk, FINRA, and… 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
- 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
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. **What...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
- Citigroup (New York, NY)
- …the Institutional Banking team. The Director Salesperson also serves as an intermediary in trading for clients. The overall objective of this role is to act as ... and raising capital for clients. **Responsibilities:** + Refine and implement sales /marketing strategy to improve Citi's client footprint and maximize associated… 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)
- …strong relationships not only with Equity Research colleagues, but also with Equity Sales , Cash Trading , Derivatives, Wealth Management, and others. As ... **About this role:** Wells Fargo is seeking an Equity Research, Vice President - Machinery & Engineering...markets and advisory solutions, including a full complement of sales , trading and research capabilities, to corporate,… 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
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... Associate, Biotechnology Equity Research **Requisition ID:** 196502 **Salary Range:** 145,000.00...as well as client and corporate events + Assist sales and trading personnel with communications to… 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
- CIBC (New York, NY)
- …Doing** Regulatory Supervision is primarily responsible for the supervision of all US sales and trading desks within Global Markets. The supervisory program is ... primary focus on Fixed Income. Other products include: Cash Equities, Program Trading , DMA, Listed Equity Derivatives, Delta1, Convertibles, Treasuries, Repo… 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
- Wells Fargo (New York, NY)
- …and high-pressure environment. Primary responsibilities include the following: + Provide trading / compliance expertise together with others, maintaining global ... **Desired Qualifications:** + 7+ years of industry experience in Trading , Controls or Compliance . + A BS/BA...Abuse Risks and applicable rules and regulations across specific Sales and Trading business. + In-depth knowledge… more