- JPMorgan Chase (New York, NY)
- …broker-dealer cash equities business managers and registered representatives on issues involving equity research, sales and trading , broker-dealer regulatory ... legal and regulatory advice to the cash equities research, sales and trading businesses. You will work...and/or financial institution advising on broker-dealer regulatory issues, cash equity trading issues and securities transactions +… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. **What You'll… 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:** $135,000 - $190,000 USD TD is...This incumbent will ensure that surveillance alerts related to trading activities of firm employees ( sales and… 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
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant experience in Trade Surveillance audits, focused on… 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. ... Job Description: Position Overview: The Corporate Tax Compliance Associate will support the VP/Executive Director of...Compliance Associate will support the VP/Executive Director of Compliance in managing the company's tax compliance ,… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. **What...+ Distribute fail reports and ensure the front office sales and trading teams are aware of… 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
- Wells Fargo (New York, NY)
- …such as; Rates, FX, Equity , and Commodities + Experience working with Sales and Trading partners + Solid knowledge of financial mathematics, particularly, ... approach for CVA. The opportunity will collaborate with front office trading , risk oversight, technology, and model governance functions ensuring requirements are… more