- Wellington (Boston, MA)
- … of the Legal, Compliance and Risk Group, report directly to the Global Head of the Public Markets Compliance and work closely with other compliance, legal ... & trading compliance program, focusing primarily on compliance support to trading professionals in equity , fixed income and derivatives markets. The… more
- JPMorgan Chase (New York, NY)
- …to focus on the US markets and to collaborate closely with the Head of US Credit & Convertible Trading . This role involves a thorough understanding of ... **Required Qualifications, Capabilities and Skills:** + **Experience:** 5 to 10+ years of trading convertible securities + **Education:** A degree in Finance,… more
- TD Bank (New York, NY)
- …a timely manner + Communicates bank policy information and strategy between the product head and relevant trading personnel + Fully informed on market data, ... **Work Location** : New York, New York, United States of America **Hours:** 40 **Line of Business:**...for this role. **Job Description:** The VP Sales and Trading TDS develops an institutional investor base in the… more
- Mizuho Corporate Bank (New York, NY)
- Summary Manage and maintain a robust audit program of Mizuho's Equity & Research activities, including leading and delivering the timely execution of audits ... the areas below highly preferred (but not required): equity , sales and trading or research (including...their continuing professional development. + Assist with the development of training material related to equity &… more
- JPMorgan Chase (New York, NY)
- …organizations (SRO's), in performing these functions. You will report directly to the Head of the Broker-Dealer & Cash Equities Legal group. The Legal ... regulator, and/or financial institution advising on broker-dealer regulatory issues, cash equity trading issues and securities transactions + All candidates… more
- T. Rowe Price (Baltimore, MD)
- … of experience, we provide investment solutions and a broad range of equity , fixed income, and multi-asset capabilities to individuals, advisors, ... standards. + Strategy & Execution: Together with the Global Head of Investment Compliance, set the vision...of total relevant work experience and 5+ years of management experience Preferred: + Experience with trading… more
- TD Bank (New York, NY)
- …and Surveillance Quality Assurance Team. The SIU in turn reports to the Global Head of Surveillance. This incumbent will ensure that surveillance alerts related ... to trading activities ...to trading activities of firm employees (sales and trading ) and...access to a premier US equities business and highly-diverse equity research franchise, while growing our strong, diversified investment… more
- TD Bank (New York, NY)
- …on in governance. + **Global Control Room Portfolio Management** : Work with the Head of Global Control Room, DDI, technology and key stakeholders (eg, ... units to manage their regulatory risk. **Key Responsibilities:** + ** Equity Aggregation:** Oversee the TDS Equity Aggregation...on findings and/or recommendations for enhancements, to the Global Head of Global Control Room and Compliance… more
- Scotiabank (New York, NY)
- …engagements before the final draft supporting materials and testing report get submitted to the Head of GBM&T Compliance Testing, Director of Swap Dealer and ... development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, … more
- Mizuho Corporate Bank (New York, NY)
- …City Office Job Description Under the direction of the Managing Director - Head of the Global Coordination Group, conduct various task to support whole IADA ... administrative assignments as directed by the Managing Director - Head of Global Coordination Group, including, but...its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading ,… more