- Citigroup (New York, NY)
- …Trading Risk Management Framework, policy, and standards. Reporting to the ETRM Global Head of Equities and Spread Products, this Risk Manager will provide ... The E- Trading Risk Management (ETRM) Team provides Second Line of Defence (2LOD) oversight of all E- Trading activities across the firm with most … more
- TD Bank (New York, NY)
- …to the MD, Business Management, Strategy & Surveillance, you will represent the Global Head of Electronic trading with the accountability to enable smooth ... strategy. As an extension of the Global Head of Electronic trading , you...access to a premier US equities business and highly-diverse equity research franchise, while growing our strong, diversified investment… more
- Citigroup (New York, NY)
- … of strength at Citi. Being the best for our clients requires a culture of inclusion; an environment of equity , respect, and opportunity for everyone. ... **Job description summary:** We are hiring for the role of ' Head -Regulatory reporting and compliance delivery,...of key regulations governing the fixed income products' trading - Dodd Frank, MiFiD, Pre-trade transparency, Trade and… more
- Capital One (New York, NY)
- Director, Head of Surveillance As the Director, Head of Surveillance, part of Capital One's Compliance organization you will manage Capital One's ... identify risks related to market abuse through the management of controls and reviews over the trades, orders and...Swap Dealer (interest rate, FX commodities-energy) and institutional Broker-Dealers ( equity trading & fixed income (ABS)). +… more
- Wells Fargo (New York, NY)
- …and implementation of quantitative models for equity risk management, trading strategies, and pricing of equity products. + Develop, integrate, ... in developing and implementing quantitative models and tools for equity risk management, trading , and pricing with...you will:** + Manage, develop and mentor a team of quantitative analysts, providing guidance and support on technical… more
- Wells Fargo (Charlotte, NC)
- …estate, government, and institutional clients across the globe. Wells Fargo is seeking a Head of Markets Strategy (Strategy & Planning Director) in Corporate and ... and transactional banking, commercial real estate lending and servicing, investment banking, equity and fixed income solutions including sales, trading , and… more
- Mizuho Corporate Bank (New York, NY)
- Head of Business Continuity As part...its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading , ... team as a key partner in strengthening our bank's resilience posture. The head of Business continuity will lead the BCP operations, the regulatory inquiries as… more
- Citigroup (New York, NY)
- …and streamline processes and drive strategy across our industry. **Job Purpose:** The Global Head of Syndicate Middle Office will be tasked with oversight across ... range of internal stakeholders including Front Office Sales and Trading Desks, Banking, Compliance, Legal, Finance and HR; alongside having significant… more
- Citigroup (New York, NY)
- …of key market themes and environments through data analysis. Communicate results daily with head of IBR and trading heads. Help design appropriate hedging ... such as Stress losses, Value-at-Risk, etc. + Support the Head of IBR and Business Heads to...equity markets, and Fixed Income product structuring and trading are beneficial. + Cross asset class product and… more
- TD Bank (New York, NY)
- …Strong communicator of bank, policy information and strategy between the product head and relevant trading personnel + Fully informed on market data, ... Global Capital Markets Group, with focus on Debt [and Equity ] Capital Markets including Asset-Backed Securities and Leveraged Finance...to the business and is responsible for being aware of and understanding the approved Trading Strategies… more
- JPMorgan Chase (New York, NY)
- …to focus on the US markets and to collaborate closely with the Head of US Credit & Convertible Trading . This role involves a thorough understanding of ... **Required Qualifications, Capabilities and Skills:** + **Experience:** 5 to 10+ years of trading convertible securities + **Education:** A degree in Finance,… more
- Mizuho Corporate Bank (New York, NY)
- Summary Manage and maintain a robust audit program of Mizuho's Equity & Research activities, including leading and delivering the timely execution of audits ... the areas below highly preferred (but not required): equity , sales and trading or research (including...their continuing professional development. + Assist with the development of training material related to equity &… more
- JPMorgan Chase (New York, NY)
- …organizations (SRO's), in performing these functions. You will report directly to the Head of the Broker-Dealer & Cash Equities Legal group. The Legal ... regulator, and/or financial institution advising on broker-dealer regulatory issues, cash equity trading issues and securities transactions + All candidates… more
- Bank of America (New York, NY)
- …to learn, grow, and make an impact. Join us! Position is reporting to the Head of Equity Business Controls. This individual will partner closely with ... operating environment. The primary responsibility is to ensure the Equity line of business is in compliance... sales/ trading activity. **Position Description:** + Understanding of US Equity Regulations, particularly SEC, FINRA,… more
- TD Bank (New York, NY)
- …and Surveillance Quality Assurance Team. The SIU in turn reports to the Global Head of Surveillance. This incumbent will ensure that surveillance alerts related ... to trading activities ...to trading activities of firm employees (sales and trading ) and...access to a premier US equities business and highly-diverse equity research franchise, while growing our strong, diversified investment… more
- TD Bank (New York, NY)
- …on in governance. + **Global Control Room Portfolio Management** : Work with the Head of Global Control Room, DDI, technology and key stakeholders (eg, ... units to manage their regulatory risk. **Key Responsibilities:** + ** Equity Aggregation:** Oversee the TDS Equity Aggregation...on findings and/or recommendations for enhancements, to the Global Head of Global Control Room and Compliance… more
- Scotiabank (New York, NY)
- …engagements before the final draft supporting materials and testing report get submitted to the Head of GBM&T Compliance Testing, Director of Swap Dealer and ... development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, … more
- Citigroup (New York, NY)
- **Job Purpose:** + Individual will report to the Global Head of Prime Finance In-Business Risk (IBR), responsible for counterparty and platform risk management ... of Citi's cash and synthetic Prime Brokerage and Equity Delta One business lines: + Solutions-oriented client engagement...returns growth through ongoing client dialogue. + High level of engagement with Sales, Trading and other… more
- Scotiabank (New York, NY)
- …as well as its data and technology objectives. Reporting to theVice President, Head of Business, Data and Operational Initiatives, the role ensures alignment ... development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, … more
- Wellington (Boston, MA)
- …will provide comprehensive support to four leaders of our Investment Implementation and Trading team, to include the Department Head . This role serves as the ... experience as an executive assistant supporting senior management (Department Head , Director, SVP), OR .Minimum of 5... proprietary, independent research and span nearly all segments of the global capital markets, including equity ,… more