- 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
- CIBC (NY)
- …markets line of business, including high-level understanding of operations and trading + **Regulatory Awareness-** Understanding of compliance requirements ... continuity focused testing for the US Region to ensure compliance with all CIBC BCM Standards and Guidelines. +... with all CIBC BCM Standards and Guidelines. + ** Compliance Monitoring-** Ensure business continuity management activities align with… more
- Bank of America (New York, NY)
- Director; Compliance and Operational Risk Manager New York, New York **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/Director-- Compliance -and-Operational-Risk-Manager\_25034452) **Job Description:** At Bank of America, we are… more
- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision of ... a comprehensive compliance program for the Capital Markets division. This role...Equity Investment Banking, Equity Research, Institutional Equity Sales & Trading , Affordable Housing Investments, Fixed Income Sales & … more
- Wells Fargo (New York, NY)
- …equity risks. You may be placed in one of the following businesses: **Sales & Trading ** + Macro + Commodities + Municipal Sales & Trading + Structured Products ... relationship with Wells Fargo Corporate & Investment Banking + Assisting the trading desk in managing risk + Supporting senior sales representatives in building… more
- TD Bank (New York, NY)
- …+ Evaluate practical applicability of Firm policies to Electronic and automated (Algo) trading and sales activities in coordination with Compliance or relevant ... internal control procedures in accordance with the Volcker Enhanced Compliance Program and provide guidance on Trading ...Enhanced Compliance Program and provide guidance on Trading Desk Policies. + Assists E- Trading GMS… more
- Citigroup (New York, NY)
- …is a senior-level position responsible for covering both existing and prospective accounts trading Cash Equity products. This is an origination role, but will also ... be focused on growth with key existing clients trading cash electronic products. Salesperson will also work with...in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order… more
- TD Bank (New York, NY)
- …will be considered. + JD a plus + Experience in providing legal, regulatory or compliance advice to Markets sales and trading . + Knowledge of fixed income sales ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...on the fixed income and municipal finance sales and trading business lines including developing a good working relationship… more