- TD Bank (New York, NY)
- …JD a plus + Experience in providing legal, regulatory or compliance advice to Markets sales and trading . + Knowledge of fixed income sales and trading ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...with focus on the fixed income and municipal finance sales and trading business lines including developing… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... or audit. + Experience/background in compliance applicable to institutional trading & sales , investment banking, futures commission merchant, swap dealer… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... in compliance applicable to broker-dealer internal inspections, institutional trading & sales , investment banking, futures commission merchant, swap… more
- TD Bank (New York, NY)
- …must ensure that the Bank is adequately protected from legal, credit, business, and compliance risk in all of its trading documents; including master agreements, ... for monitoring and control function for the Loan/High Yield Sales and Trading and Cross Asset ...access to a premier US equities business and highly-diverse equity research franchise, while growing our strong, diversified investment… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... the development of robust transaction cost analysis (TCA) frameworks to optimize trading performance. + Ensure compliance with regulatory requirements and best… more
- JPMorgan Chase (New York, NY)
- …Income Credit, Rates & Commodities Exchange Traded Funds) will partner with Automated Trading Strategies, Trading , Sales and Technology to identify and ... and traders. The position requires an entrepreneurial spirit and significant interaction with e- trading technology, sales and trading teams in a fast-paced … more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 230322 **Salary Range:** 117,400.00 -...and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support… more
- TD Bank (New York, NY)
- …+ 5+ years related experience **Customer Accountabilities:** + Works closely with the sales and trading group to develop new relationships, and with other ... as well as internal policies and regulatory standards (as communicated by Compliance ) at all times to assist in maximizing profitability through sound and… more
- TD Bank (New York, NY)
- …key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent ... to detect anomalies in surveillance data. + Cross-Functional Leadership: Partner with Compliance , Risk, Trading , and Technology teams to optimize data workflows… 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. ... The individual will be joining the Volcker Compliance and Americas Treasury Department Advisory team. The candidate will also have the opportunity to work on other… more
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