- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer, US Stamford,United States Permanent Full Time \#R-00241613 Our people work differently depending on their ... to ensure the proper operations of the department and the business. ** Director , Electronic Trading Compliance Officer, US** Seeking an experienced… more
- NatWest Markets (Stamford, CT)
- Director , Electronic Trading Risk...compliance with relevant regulations, laws, and policies on electronic and algorithmic trading for our fixed ... and the business._ **Team** This role is within the Electronic Trading Risk & Control Management Team,...Head of Risk and Control and supporting the global Director of Algorithmic Risk Control, you will have full… more
- Scotiabank (New York, NY)
- Director , Electronic Execution Services Sales, Global Equities **Requisition ID:** 209208 **Salary Range:** 300,000.00 - 300,000.00 _Please note that the Salary ... committed to results, in an inclusive and high-performing culture. **Title: Director , Electronic Execution Services Sales, Global Equities** **Global Banking… more
- BMO Financial Group (New York, NY)
- The US Capital Markets Compliance Team is seeking an Equities Compliance Director with primary accountability for the Firm's Cash Equities & Electronic ... of additional risk mitigating controls pertaining to the Firm's Cash Equities & Electronic Trading businesses. The role requires deep expertise of the rules… more
- BlackRock (New York, NY)
- …3.0, UST / repo clearing, dealer definition) + Provide input into our electronic trading strategy to evaluate new functionality, platforms, and connectivity ... Fixed Income or Equities, such as, but not limited to, Trading , Operations, Legal & Compliance , etc. + Deep knowledge and understanding of buy-side investment… more
- TD Bank (New York, NY)
- …trade reporting, consolidated audit trail, data and information management and retention, electronic trading , advertising and marketing. + Draft and negotiate ... trading and related agreements in connection with trading platforms, electronic trading , market...licensing and direct market access. + Work closely with Trading Business Management and Compliance to implement… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... Team** : S&P Global Ratings is seeking an Associate Director to join its Structured Finance practice, which provides...for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... to transform risk management. We are seeking an **Associate Director of Generative AI Platform Engineering** to join our...align with business requirements. + Implement security measures and compliance standards of the platform and APIs to ensure… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... mix of in-person days and virtual days. **Responsibilities and Impact:** As a Director of Full Stack Engineering/Architecture at Ratings division you will be +… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... days and virtual days. **Responsibilities and Impact:** As a Director of Advanced Analytics Product Management at Ratings division...for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... their great personalities all the time. **The Role:** The Director - Private Markets is responsible for supporting the...for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... detailed reviews of legal and operating documents to ensure compliance with criteria and identify issues with the transaction...for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... & key insights when requested for reporting. + Ensure compliance with regulatory and corporate governance requirements in all...for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Equal Opportunity Employer** S&P Global… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...of interest. Employment at S&P Global is contingent upon compliance with the Policy. **Equal Opportunity Employer** S&P Global… more
- Trexquant Investment (Stamford, CT)
- …as PF, 13F etc.) + Reports to the CCO and works closely with the Compliance Director , Corporate Counsel and technology teams. Requirements + 4-8 years of prior ... join our team and become a manager of platform compliance for a systematic investment firm (for private funds)...with other members of the team and consultants. + Electronic Filings Process Development - review and support processes… more
- S&P Global (New York, NY)
- …(for internal use):** 14 **The** **Role** **:** Head of Product, Regulatory & Compliance **The Team** : The Enterprise Solutions business within S&P Global Market ... corporate clients with industry-leading software, data and services. Our Regulatory & Compliance ecosystem is comprised of products that help our customers manage… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... 11 **About the Role:** We are seeking a Lead/Associate Director of ML & MLOps Engineering - GenAI to...for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... our specialized sector teams. Under the guidance of a director , a qualified senior analyst typically maintains direct analytical...for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- Graham Windham (Bronx, NY)
- …pool of foster and adoptive parents. The Homefinding Supervisor will ensure compliance with regulatory standards promulgated by the New York City Administration for ... Supervisor will also support the Foster Parent recruitment team and the RDS Director as needed. Position Responsibilities: Ensuring that that every foster parent who… more