- CIBC (New York, NY)
- …of the securities industry including Equity and Fixed Income Sales & Trading , Derivatives, Investment Banking, Commodities and brokerage operations. ... CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of… more
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... As the Vice President of Compliance AI Initiatives, you will play a pivotal...in shaping the future of AI risk management and compliance within our Compliance Department. You will… more
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... Join the Mizuho team! As the Director of Compliance Technology Modernization, you will be at the...be at the helm of a transformative journey-redefining how compliance is architected, delivered, and scaled across a global… more
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... income statement and balance forecast models; + Liaising with banking and trading counterparts to manage and access the modeling data infrastructure; + Preparing… more
- Citigroup (New York, NY)
- …and market dynamics. + Collaborate with internal teams (operations, legal, compliance , finance, sales , marketing) to ensure seamless service delivery ... and issuance/cancellation processes. + **Capital Markets:** Strong knowledge of global equity markets, trading mechanisms, clearing, and settlement processes,… more
- JPMorgan Chase (Brooklyn, NY)
- …skills. **Preferred Qualifications, Skills, and Capabilities:** + Coverage of Markets Sales / Trading business(es) is desired. + Knowledge of regulatory and ... legal obligations, and mapping them to control framework elements to ensure compliance with material laws and regulatory requirements. Join our Markets Office of… more
- TD Bank (New York, NY)
- …focused on FICC derivatives. The Transparency team works directly with global sales / trading /quant teams on the development of applications incorporating pricing ... globally by Front Office sales and traders and are critical to TD's trading activities. This is a global team with engineers in Toronto, London, New York, and… more
- Citigroup (Jacksonville, FL)
- …Oversight:** Reviewing escalated surveillance issues, performing transaction surveillance, providing compliance /supervisory guidance to sales & trading ... in Capital Markets and the financial industry. + Cross-disciplinary knowledge of compliance , operations, trading + **Required Licenses:** Series 7, 9/10, 31,… more
- TD Bank (New York, NY)
- …with key stakeholders across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is...This incumbent will ensure that surveillance alerts related to trading activities of firm employees ( sales and… more
- Coinbase (Charlotte, NC)
- …with clarity * Clear, confident communicator with strong relationship-building instincts across Sales , Trading , Risk, Prime, and Operations * Entrepreneurial and ... our objectives in the global cryptoeconomy, set the standard of institutional trading and financing, and build a more innovative financial system. You will… more