- TD Bank (New York, NY)
- … Compliance experience, including Securities Advisory experience. Knowledge of trading algorithms, alternative trading systems and market structure preferred ... + Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading ...or compliance advice to Equity Sales & Trading Businesses + Strong knowledge of applicable securities laws,… more
- Marex (New York, NY)
- …+ Carry out assigned compliance testing. + Coordinate and provide Compliance Advisory support to registration, employee trading and assigned business line ... visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance … 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 ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… 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 ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… 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 ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… 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 ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… 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 ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… 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 ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… 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 ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… 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 ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Recruitment Fraud Alert:** If you… more