- Scotiabank (New York, NY)
- …also assist in the resolution of complex business problems for Sales and Trading Business units for Equity , Convertible Bonds, and Options and other business ... Scotiabank's Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and...+ University degree and 3-5 years' experience in an Equity trading environment. + Series 7/63 is… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... , Sales / US FICC / Credit Sales & Trading **Requisition ID:** 235201 **Salary...of day-to-day business controls. Understand that operational risk, regulatory compliance risk, AML/ATF risk, and conduct risk requirements must… more
- Wells Fargo (New York, NY)
- …and counsel to the loan sales and trading business, including sales , trading , credit, compliance , and operations functions + Review and analyze ... respect to secondary loan trading (both par and distressed), secondary trading of distressed securities (including reorganized equity and bonds), corporate… more
- JPMorgan Chase (New York, NY)
- …work in close collaboration with various business partners across the Global Equities Sales and Trading organization and JPM's Prime Brokerage team to deliver ... Solutions (ECS) team, which is the client-facing organization for all automated trading capabilities in Cash Equities. This team builds, manages and delivers the… more
- JPMorgan Chase (New York, NY)
- …suite as well as bespoke solutions. + Partner with business analysts, core technology, legal/ compliance , operations, and sales and trading teams to ensure ... You will work closely with various business partners across the Global Equities Sales and Trading organization to deliver innovative solutions for our clients… more
- JPMorgan Chase (New York, NY)
- …maintenance of the Firm's proprietary investment tools + Foster relationships with sell-side sales and trading desks to enhance execution and liquidity Required ... operates an office in London. Highbridge Capital Management ("HCM") is seeking a Trading Assistant for our investment team. The team is responsible for managing all… more
- JPMorgan Chase (New York, NY)
- …Experience in operations, operational risk management, business controls, sales , trading , audit, technology, business management, or compliance in a ... Manager - NA Rates & Fixed Income Financing (FIF) Trading - Vice President, you will manage the control...experience in controls, audit, quality assurance, risk management, or compliance preferred. + Proficient in Microsoft Office Suite (Word,… more
- SMBC (New York, NY)
- …/ transactions (ie, pre-trade and post-trade spot checks) in support of trading and trading operations. Effectively communicate with middle office regarding ... the required data into proper reporting / analytics. Support legal and compliance teams (ie, provide reporting and/or documentation as required) with regulations… more
- JPMorgan Chase (New York, NY)
- …for senior stakeholders across Front, Middle, and Back Office, including Underwriting, Sales , Trading , Operations, Finance, Risk, and Legal + Drive ... empowerment and continuous improvement, and ensuring robust controls and regulatory compliance . **Job Responsibilities:** + Set the vision and strategy for Syndicate… more
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... is for a Control Room Officer with focus on Equity Research + Serve as the Compliance ...+ Serve as subject matter expert to advise research, sales and trading on various restrictions +… more