- SMBC (New York, NY)
- …identify and provide training and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income activities ... of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function and...responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief … more
- Bank of America (New York, NY)
- ASO, FICC Trading / Global Mortgages- ABS Banking New...in the market to gain insight into marketing and sales trends + Supports the trading strategy to ... and interacting with deal team members + Assists with sales , trading , and hedging activities and documents...to Detail + Customer and Client Focus + Regulatory Compliance + Research Analysis + Risk Analytics + Microsoft… 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
- Bank of America (New York, NY)
- …We are a diverse, high-performing team that partners with Trading , Sales , Operations, Technology, Legal, and Compliance to implement sustainable solutions ... including discrete workstreams and dependencies. + Collaborate with Business, Legal, Compliance , Operations, and Technology to develop project objectives, risks, and… more