- JPMorgan Chase & Co. (New York, NY)
- …related field; advanced degree (MBA, CFA) preferred. Minimum of 5 years of experience in equity trading , with a proven track record in a high touch environment. ... Job Description Job Summary: The Vice President, High Touch Trading will be responsible for executing equity ...to clients. Monitor market conditions and trends to inform trading decisions. Collaborate with sales , research, and… more
- BNP Paribas (Jersey City, NJ)
- …Direct auditing experience in one or more of the areas: Capital Markets, Equity /Fixed Income, Sales and Trading , Derivatives/Futures. FINRA Registrations ... of the relevant risks and controls in market activities areas such as Trading , Origination, Distribution, Sales , Order Management and Trade Execution, Risk… more
- TD Bank Group (New York, NY)
- …and associates 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 Group (New York, NY)
- …Excel, Bloomberg, Alteryx, SQL, VBA, Macro, Python etc. General Job Description: The VP Sales and Trading TDS develops an institutional investor base in the US ... decisions Develops and maintains contacts Responsible for executing the ongoing trading exception report reviews for Money Markets Sales NY Understands… more
- Novon Consulting (Minneapolis, MN)
- …/Supervisory experience. Someone with applicable experience in other parts of the business Equity Sales and Trading , Institutional Brokerage, Equity ... About the job Compliance Analyst Contract-to-hire role Hybrid onsite/Minneapolis W2/USC only Compliance Analyst Licenses SIE, Series 7TO, Series 63, Series 24… more
- State Street Corporation (Boston, MA)
- …licenses (Series 7 and Series 63) preferred or the ability to attain Clean compliance and U4 record required Knowledge of equity markets and portfolio ... The Sector Sales Specialist distributes the SPDR Select Sector ETFs,...provide investment servicing, data & analytics, investment research & trading and investment management to institutional clients. Work, Live… more
- Galaxy (New York, NY)
- …as KYC, AML, and internal onboarding policies Liaise with internal stakeholders ( sales , legal, compliance , and operations) to resolve missing documentation and ... future a reality. Our institutional digital assets platform spans trading , investment banking, asset management, staking, self-custody, and tokenization technology.… more
- B. Riley Securities (Chicago, IL)
- …a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary ... nationally recognized and highly ranked for its proprietary small-cap equity research. We are seeking a full-time Compliance... equity research. We are seeking a full-time Compliance Officerwith a minimum 5 to 8 years of… more
- State Street Corporation (Irvine, CA)
- …evaluate customer requirements in order to help Charles River respond to sales opportunities. Prepare and deliver sales presentations. Execute proof-of-concept ... experience implementing investment management software, preferably an order management and compliance system is especially valuable. *Substantive in one or more of… more
- BNP Paribas (New York, NY)
- …documents relating to each major regulation in scope Work closely with Global Markets trading and sales heads, GBLs and local Business Management and other ... framework, including running senior committees, where GMA Senior Managers, Compliance officers and other relevant functions discuss any ...offer a full value chain for our clients, from trading to financing, and clearing and custody in the… more
