- Guardian Life (New York, NY)
- This is a service oriented role in a fast- paced environment for a retail broker/dealer and RIA. This role handles all aspects of order entry for mutual funds, ... our clearing firm's platform. Additionally, this role supports the trading aspect within our proprietary managed account products. **You...+ Series 7 & 63 required + Phone based service experience + Knowledge of equity and fixed income… more
- JPMorgan Chase (Brooklyn, NY)
- …Estate Services , Securities Lending, Collateral Management, Prime Custody and Trading Services . The scale of activity will range from single product ... IMOS, Private Equity and Real Estate Services , Securities Lending, Collateral Management, Prime Custody and Trading... Securities Lending, Collateral Management, Prime Custody and Trading Services + Show ability to present… more
- Morgan Stanley (New York, NY)
- … or Technology or related industry . Direct professional experience in a securities trading business in some functional capacity, ideally focused on ... *Electronic Trading Business Controls * Electronic Trading ...marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected… more
- TD Bank (New York, NY)
- …senior management The Associate - TBM is responsible for helping TD Securities trading businesses achieve best-in-class strategies, operating processes, controls ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $93,000 - $140,000 USD TD is...and infrastructure. This position supports the trading /sales managers and business heads at the Dealer, providing… more
- JPMorgan Chase (New York, NY)
- …facilitate trading . **Position Summary:** As an Associate for the Short Duration Trading Desk ( Securities ), you will be tasked with a variety of ... JP Morgan's Short Duration trading desk is part of one of the...as critical feedback, and ability to produce revenue and service our client base. **Job Responsibilities:** + Pricing small… more
- Scotiabank (New York, NY)
- …relationships, systems, and knowledge. + Provide day-to-day compliance support for equities securities trading and sales businesses by advising on the ... regulations, determine the applicability and impact of laws and regulations for specific securities sales and trading businesses, and evaluate the impact of… more
- Morgan Stanley (New York, NY)
- …and content to clients around the world, actively assessing and managing risk, trading securities , and planning and executing transactions in the fast-changing ... and content to clients around the world, actively assessing and managing risk, trading securities , and planning and executing transactions in the fast-changing… more
- Morgan Stanley (New York, NY)
- …financial services firm providing a wide range of investment banking, securities , investment management and wealth management services . The Firm's employees ... of our culture. *Department Profile * Morgan Stanley's Institutional Securities Group is underpinned by complex trading ...related roles * Understanding of and familiarity with financial services industry (knowledge of sales and trading ,… more
- Bank of America (New York, NY)
- …products and services and applicable compliance rules and regulations. + Securities trading experience in equities, bonds, options, futures contracts + ... Back Office/ Front Office Experience, including security reconciliation, Margin reconciliation, securities processing/ master. + Securities trading … more
- S&P Global (New York, NY)
- …benefits we provide to our employees, visit spgbenefits.com _._ _S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate ... **The** **Role:** **Lead Java Engineer** . **The Team:** Core Services is a global technology team to foster innovation,...of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is… more
- Siebert Williams Shank (New York, NY)
- …communicating all regulatory changes to the taxable fixed income, municipal & equity securities sales & trading , public & corporate finance groups, and training, ... and regulations through critical thinking and proper application. SWS is a full- service investment banking and financial services company dual-headquartered in… more
- Tradeweb (New York, NY)
- …**Skills / Attributes** + You will have experience ideally gained in brokerages, securities trading , regulator or exchange environments, with a strong knowledge ... working in a compliance related role within a financial services firm in the role of a CCO or...is a world leader in the evolution of electronic trading . A fintech company serving approximately 2,500 clients -… more
- Tradeweb (New York, NY)
- …accurate work product + You will have experience ideally gained in brokerages, securities trading , regulator or exchange environments, with knowledge of relevant ... Programs** + Pre-Tax Commuter Benefits Program + ARAG Legal Services + Employee Assistance Program + Tuition Reimbursement +...is a world leader in the evolution of electronic trading . A fintech company serving approximately 2,500 clients -… more
- Citigroup (Jersey City, NJ)
- …laws, rules, regulations, risks and typologies + A general understanding of securities trading and corresponding regulations with proven ability to prioritize ... portfolios including trade surveillance, e-communications and voice surveillance, employee trading , outside activities surveillance, and information barrier surveillance. **Responsibilities:**… more
- Citigroup (Jersey City, NJ)
- …laws, rules, regulations, risks and typologies + A general understanding of securities trading and corresponding regulations with proven ability to prioritize ... portfolios including trade surveillance, e-communications and voice surveillance, employee trading , outside activities surveillance, and information barrier surveillance. **Responsibilities:**… more
- Citigroup (Jersey City, NJ)
- …laws, rules, regulations, risks and typologies + A general understanding of securities trading and corresponding regulations with proven ability to prioritize ... Management (ICRM)'s Surveillance team is responsible for the oversight for surveillance services designed to detect behaviors that may violate regulatory rules or… more
- Citigroup (New York, NY)
- …and market experience required + Deep subject matter expertise in debt investment securities and non- trading market risk such as FXRBB, commodity risk, private ... balancing financial resources among different competing priorities and how other Non- Trading Market Risk such as FXRBB, Commodity/Equity/CSRBB risk and OCI capital… more
- Citigroup (New York, NY)
- …investment portfolio. Market experience is preferred + Proficient with debt investment securities and non- trading market risk such as FXRBB, commodity risk, ... balancing financial resources among different competing priorities and how other Non- Trading Market Risk such as FXRBB, Commodity/Equity/CSRBB risk and OCI capital… more
- Capital One (New York, NY)
- …including but not limited to application of those rules to Asset-Backed Securities underwriting and secondary trading , Commercial Mortgage-Backed Securities , ... (asset backed securities including commercial mortgage backed securities ) and equity trading . + Familiarity with...in compliance, legal, audit, operations or finance within financial services OR at least 7 years of experience working… more
- S&P Global (New York, NY)
- …Asset-Backed Securities ; + Willingness in providing timely and premier service to internal/external stakeholders; + Demonstrate sound ability to analyze client ... and work, and advocate for greater opportunity for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more