- Truist (Charlotte, NC)
- …manner. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to ... Supervision Group for each respective complex. + Principal Review of electronic client correspondence, retail communications, seminars and social media to ensure… more
- Scotiabank (New York, NY)
- …conducted are following governing regulations, internal policies and procedures. Manage the non- trading / sales elements for the Regional and Global Equities ... (Global - Cash, Electronic Execution, Convertible Bonds and US Derivatives) and US...Scotiabank's Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and… more
- TD Bank (New York, NY)
- …various businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading , and prepare business personnel for meetings ... work independently + Ability to use personal computer for word processing and electronic filing and retrieval of documents. + Strong analytical skills and basic… more
- S&P Global (Houston, TX)
- …and Impact:** The Price Reporter is responsible for reporting on daily physical trading activity to produce prices by gathering information from a range of contacts ... additional compensation such as an annual incentive bonus or sales commission plan. This role is eligible to receive...status, or any other status protected by law. Only electronic job submissions will be considered for employment. If… more
- Citigroup (New York, NY)
- …vision + Good understanding on Rates products in general and dynamics of Rates trading ( electronic and voice) along with knowledge on pricing, risk and valuation ... enable growth and economic progress. **Responsibilities:** + Work closely with Sales , Traders, Business Managers to identify Market Trends, Regulatory Landscape,… more