- Mizuho Corporate Bank (New York, NY)
- 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 ... and Responsibilities: Assist with the assessment of the current Volcker Compliance program and identify opportunities for improvement, increasing efficiency, and… more
- Janus Henderson Investors (New York, NY)
- …market trends, pricing dynamics, and regulatory changes to inform and adjust trading strategies. + Regulatory Compliance : Ensure adherence to relevant industry ... modeling, risk measurement and management, and market analysis to optimize trading strategies and portfolio performance. + Loan Pool Analysis: Collaborate with… more
- TD Bank (New York, NY)
- …improvements based on risk, impact, and value. + Work with Front Office, Compliance , Surveillance , Legal, and Risk to capture voice recording requirements and ... management and cost planning, and regulatory readiness across global trading environments. You will be the key product owner...support capture elements for voice endpoints. + Partner with surveillance , compliance , and archive teams to ensure… 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 ... and structural analytics, and client-facing activities for new issue ratings and surveillance of ABS transactions backed by consumer and commercial assets. **The… 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 ... and structural analytics, and client-facing activities for new issue ratings and surveillance of Non-traditional ABS transactions. **The Impact** : This role blends… more
- HSBC (New York, NY)
- …classes) and support functions (market risk, liquidity risk , finance, operations, surveillance , regulatory compliance , etc) + Exhibit knowledge of key ... and clearing, as well as the supporting functions (eg, Market Operation, Trade Surveillance , Traded Risk and Product Control). The team also covers Global Research,… 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 ... modeling and transaction document analysis in support of new issue ratings and surveillance of CLO transactions. The Associate Director will review documents as it… more
- BMO Financial Group (New York, NY)
- …combination of education and experience. + Strong experience in equities, electronic trading , and fixed income compliance strongly preferred + Experience with ... The BMO Capital Markets Compliance team is hiring for a CCO of...but are not limited to, fixed income, equities, electronic trading , prime brokerage, and investment banking. The broker-dealer CCO:… more
- New York State Civil Service (Albany, NY)
- …(RFI) documents and engage with licensed entities as needed to ensure compliance with state and federal regulations, guidance, warnings and expectations outside ... monitoring processes related to the use of blockchain analytics and market surveillance tools;* Conducts investigations on fraud alerts (ie, insider trading… more
- Bank of America (New York, NY)
- …+ Active Listening + Issue Management + Liquidity Management + Monitoring, Surveillance , and Testing + Regulatory Compliance **Shift:** 1st shift (United ... Review and challenge key capital management activities, including Fundamental Review of the Trading Book (FRTB) and Basel 3 market risk rule implementation + Review… more