- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer, US Stamford,United States Permanent Full Time \#R-00241613 Share: ... 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 ... (1LOD), US Stamford,United States Permanent Full Time \#R-00245427 Share: (https://jobs.natwestgroup.com/jobs/15203953- director - electronic - trading -risk-and-control-1lod-us/apply?tm\_src=0) Our people work differently… more
- Citigroup (New York, NY)
- …distribution is a senior level position responsible for overseeing the growth of Rates electronic trading , in coordination with the Trading team. The overall ... share objectives and to coordinate with key stakeholders to develop the trading franchise. **Responsibilities:** + Build and maintain a franchise and connect with… more
- TIAA (New York, NY)
- **Enterprise Sr Compliance Officer** The Enterprise Senior Compliance Regulatory Programs Officer supports the Enterprise Compliance Chief Compliance ... a global coverage plan which defines the scope and focus of Compliance activities for a globally recognized financial services firm. Additionally, the role… 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 ... Role:** **Grade Level (for internal use):** 13 **The** **Role:** Director of Data Science - NLP, LLM and GenAI...monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance… more
- S&P Global (New York, NY)
- …Level (for internal use):** 12 **_The_** **_Role:_** **_Regional Commercial Associate Director - Regulatory Compliance_** **The Team:** This commercial position is ... part of S&P Global Market Intelligence's Regulatory Compliance Division. Reporting to the Commercial Head of Documentation and Regulatory Solutions, you will work… 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 ... **The 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 ... enhanced housing issues across the country. As the Associate Director , you will participate in the management of a...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 ... the Role:** **Grade Level (for internal use):** 12 **The** **Role:** Associate Director , US Public Finance - **Cross Analytic Practice Expertise (CAPE)** **The… 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 ... and virtual days. **Responsibilities and Impact:** As an Associate Director of Software Engineering at Ratings division you will...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 ... **Grade Level (for internal use):** 12 **The** **Role:** Associate Director of Data Science - NLP, LLM and GenAI...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 ... **About the Role:** **Grade Level (for internal use):** 12 **The** **Role:** ** Director , Sales: Structured Finance, North America** **The Team:** The 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 internal use):** 12 **S&P Global Ratings - Commercial** **The** **Role:** ** Director , Sales: Project Finance & Infrastructure** **The Team:** The 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 ... 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 ... 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
- Mizuho Corporate Bank (New York, NY)
- …of the areas below highly preferred (but not required): + Equity sales and trading , futures or research (including cash equities, electronic and program ... management and talent development. Job Description Under the direction of the Director , execute a robust audit program including leading the timely execution of… more