- Scotiabank (New York, NY)
- …+ Strong working knowledge of Equities , Electronic Trading , Equity Research, Financing and Balance Sheet, Securities Lending and Swaps + Knowledge of ... and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives,… more
- TD Bank (New York, NY)
- …alerts related to trading activities of firm employees (sales and trading ) and clients, and employee electronic communications alert, are reviewed ... trusted Surveillance Compliance professionals engages with key stakeholders across TD Securities , including Markets sales and trading leaders, Technology,… more
- Bank of America (New York, NY)
- …agreements, disclosures, confidentiality agreements, and auction agreements. + Work with electronic trading platforms and agreements, including onboarding of new ... for the following activities supporting Global Markets' Fixed Income sales and trading business, among others: (i) the analysis of complex legal issues and… more
- Citizens (New York, NY)
- …relationships with buy-side clients and internal stakeholders. + Collaborate with capital markets, equity research, equity trading , and high-yield trading ... or a related field. + Deep understanding of convertible securities , capital structure arbitrage, and equity derivatives....markets + Ability to understand complex market structures and electronic trading + Ability to perform in… more
- Capital One (New York, NY)
- …surveillance for Swap Dealer (interest rate, FX commodities-energy) and institutional Broker-Dealers ( equity trading & fixed income (ABS)). + Oversee the ... of Capital One's Compliance organization you will manage Capital One's Electronic Communications Surveillance Program and Trade Surveillance for Capital One's… more
- Raymond James Financial, Inc. (New York, NY)
- …concepts, practices, and procedures of institutional equity sales & sales trading . + Financial markets, products, and electronic networks. **Skill in** + ... and skills obtained through education and experience to provide marketing and trading support to Institutions. Regular contact with internal and external customers… more
- Raymond James Financial, Inc. (New York, NY)
- …in securities underwriting, private placements, syndicate matters, Reg M, and electronic trading risks across multiple asset classes. + Oversee the ... Company, and state regulatory frameworks. + Financial markets, investment products, and electronic trading risks. **Advanced Skill in:** + Leadership and… more
- CalSTRS (Sacramento, CA)
- …, which require disclosure of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement ... an experienced individual to work as an Investment Officer II on the Private Equity team. Established in 1988, CalSTRS Private Equity program invests globally in… more
- Citigroup (New York, NY)
- …real time position , risk management capabilities. It has connectivity to 60+ electronic trading venues and 20+ regulatory bodies globally. The Fixed Income ... including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Citi enables clients… more
- CalSTRS (Sacramento, CA)
- …, which require disclosure of certain investment information and use of a designated trading platform for securities transactions, as well as filing a Statement ... provide further diversification of CalSTRS overall investment portfolio, especially during equity market downturns. RMS includes long duration US Treasuries, Trend… more