- TD Bank (New York, NY)
- …professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance, and Risk ... for this role. **Job Description:** TD Securities Compliance team is seeking a Director -level candidate to lead the Surveillance Data Quality Team. This is a global… more
- Citigroup (New York, NY)
- …Banking team. The Director Salesperson also serves as an intermediary in trading for clients. The overall objective of this role is to act as strategic ... and raising capital for clients. **Responsibilities:** + Refine and implement sales /marketing strategy to improve Citi's client footprint and maximize associated… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... Director , US Deputy CISO **Requisition ID:** 225315 **Salary...groups or advisors in various business areas (Internal Controls, Audit , Cyber Security, Privacy, Fraud, Resilience, Availability) to spearhead… more
- Mizuho Corporate Bank (New York, NY)
- …span corporate and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit ... Market Treasury/Money Markets & Funding - Director Key Responsibilities . Managing the bank's funding...with business users including treasury back office, Risk, and Audit . . Servicing business user inquiries and performing ongoing… more
- TD Bank (New York, NY)
- …Global Head of Surveillance. This incumbent will ensure that surveillance alerts related to trading activities of firm employees ( sales and trading ) and ... professionals engages with key stakeholders across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance, and Risk… more
- Scotiabank (Dallas, TX)
- …or audit . + Experience/background in compliance applicable to institutional trading & sales , investment banking, futures commission merchant, swap dealer ... and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy,… more
- JPMorgan Chase (Boston, MA)
- …regional employees as required by firm policy and review and resolve personal trading policy violations with Compliance and Regional Director as required ... Review middle markets, institutional, and retail customer account activity, sales practices, suitability, documents, marketing material and customers' statements to… more
- Huntington National Bank (Columbus, OH)
- …AML compliance with a focus on Investment Banking, Public Finance, M&A as well as Sales and Trading activities. + Oversight and Governance of OCC Rules specific ... Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical role in the execution and implementation of the Compliance… more
- Scotiabank (Houston, TX)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, ... will be located in Houston and report to the Director , US Credit Risk Houston. The incumbent will ensure...in preparing information for and responding to questions from audit , loan review and regulatory authorities. + Ensure that… more
- Mizuho Corporate Bank (New York, NY)
- …span corporate and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit ... : The Corporate Tax Compliance Associate will be responsible for assisting the Director of Compliance on: Tax Compliance, Provision, Research and Audit . Specific… more