- TD Bank (New York, NY)
- …In 2023, we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing ... **Work Location** : New York, New York, United States of America **Hours:** 40...in compliance, trade surveillance and/or capital markets domains including trading lifecycles. **Responsibilities:** . Lead the creation and enhancement… more
- TD Bank (New York, NY)
- …In 2023, we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing ... **Work Location** : New York, New York, United States of America **Hours:** 40...VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for… more
- XPO, Inc. (Charlotte, NC)
- … plan administration and executive compensation experience in a publicly traded US company Preferred qualifications: + Certified Equity Professional (CEP) or ... equity transactions monthly to ensure accuracy and quality control in the equity management system +...processing + Coordinate with Legal to maintain the insider trading list, set insider restrictions in the equity… more
- BMO Financial Group (New York, NY)
- …advisory services, securitization, treasury management, market risk management, debt and equity research and institutional sales and trading . BMO Capital ... revenues, balances, and wallet share across prime services. + Partner with Equities , Prime Finance/ Trading , Risk, Operations, Technology, Legal, and Compliance… more
- TD Bank (New York, NY)
- …In 2023, we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing ... **Work Location** : New York, New York, United States of America **Hours:** 40...as well as frequent borrowers when needed in the US , Canada, and Europe, in concert with DCM partners… more
- ADM (Chicago, IL)
- …Introducing Brokers, non-clearing FCMs, branch offices, subsidiaries and sister companies across the United States and around the globe. ADMIS is a wholly-owned ... **103263BR** **Job Title:** Financial Control Analyst - Chicago, IL **Department/Function:** Investor Relations...broker commission payouts, and other variable and fixed direct trading costs. This role supports profitability analysis and reporting… more
- Citigroup (New York, NY)
- … Trading **Time Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary Range:** $200,000.00 - $300,000.00 ... franchise. This position will have a heavy focus on trading Collateralized Loan Obligation (CLO) mezzanine and equity...governance and controls: + Work in close partnership with control functions such as Legal, Compliance, Market and Credit… more
- Tradeweb (New York, NY)
- **Company Description** Tradeweb is a global leader in electronic trading for rates, credit, equities , and money markets. As financial markets become ... increasingly interconnected, our technology enables efficient, multi-asset trading on a global scale. We serve more than...as one of _America's Best Companies_ (2024) and by US News & World Report as one of the… more
- Phillips 66 (Houston, TX)
- …66 & YOU - Together we can fuel the future** As the **Product Control Advisor** , you'll join a team that values clarity, integrity, and inclusive teamwork-helping ... compliance to internal and external policies. + Collaborate closely with Risk, Scheduling, Trading and FP&A teams to ensure data accuracy. + Collect and interpret… more
- TD Bank (New York, NY)
- …In 2023, we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing ... **Work Location** : New York, New York, United States of America **Hours:** 40...required. + 5-7 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank… more