- JPMorgan Chase (New York, NY)
- **Job Summary** As a Control Management Vice President within our dedicated team, you will be tasked with maintaining a sustainable and disciplined end-to-end ... control environment for the line of business. Your responsibilities...capabilities, and skills** + Basic understanding of trade-life cycle, equity & markets + Prior front office exposure preferred… more
- Citigroup (New York, NY)
- Equities Supervisory Risk and Control position supports a trading and sales environment in relation to US Regulatory Rules as defined by FINRA and the ... Regulatory controls and processes to ensure thorough Supervision of Trading Activities in Equities 1LoD. + Understand...Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary… more
- Scotiabank (New York, NY)
- Senior Manager, US Equities Product Control **Requisition ID:** 215730 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is ... regulations, internal policies, and procedures. Reporting to the Director, US Equities Product Control , the...family, financial, physical, mental, and social health needs. Location(s): United States : New York : New… more
- Scotiabank (New York, NY)
- …contributes to the overall success of the front office/first line of defense 1B control group within the United States ensuring specific individual goals, ... initiatives are executed / delivered in support of the US Equities Desks control framework...family, financial, physical, mental, and social health needs. Location(s): United States : New York : New… more
- Scotiabank (New York, NY)
- …of internal controls relating to wholesale bank and trading operations and internal control within the US This Manager's role will focus on Internal ... Manager, US Internal Control and Global Wholesale...family, financial, physical, mental, and social health needs. Location(s): United States : New York : New… more
- Citigroup (New York, NY)
- … Control **Time Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary Range:** $163,600.00 - $245,400.00 ... Control Group (VCG) to be the NAM Valuation Control Head for the Equities team. Independent...Policy, Local Finance) and the Front Office (Market Risk, Trading /Business Managers, Model Risk, Quants etc) + Leading and… more
- Scotiabank (New York, NY)
- Manager, US Equities Product Control ...family, financial, physical, mental, and social health needs. Location(s): United States : New York : New ... equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income...internal policies, and procedures. Reporting to the Senior Manager, US Equities Product Control , the… more
- Bank of America (New York, NY)
- …an emphasis on secondary trading markets. + At least a basic understanding of US equities market structure, with an emphasis on electronic trading and ... laws, rules, and regulations. **Minimum Education Requirement: Juris Doctor** **Shift:** 1st shift ( United States of America) **Hours Per Week:** 40 Bank of… more
- Bank of America (New York, NY)
- …loan and other structured equity financing products. Familiarity with US equity market regulations, exchanges/execution venues, clearing and settlement ... , Futures and Options, and Research. Products include cash equities (high touch and low touch electronic trading...+ Critical Thinking + Technical Documentation **Shift:** 1st shift ( United States of America) **Hours Per Week:**… more
- Wells Fargo (New York, NY)
- …markets transactions include Derivatives (Rates, FX, Commodities, CDS, and Equities ), Securities Trading , and Securities Financing.** **Primary responsibilities ... **Foster strong relationships with business partners in Sales and Trading , Banking, Credit, Control , Legal, Operations, Technology,...1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to… more
- Wells Fargo (New York, NY)
- …markets transactions include Derivatives (Rates, FX, Commodities, CDS, and Equities ), Securities Trading , and Securities Financing. Primary responsibilities ... Foster strong relationships with business partners in Sales and Trading , Banking, Credit, Control , Legal, Operations, Technology,...1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to… more
- Citigroup (Jersey City, NJ)
- …Development **Time Type:** Full time **Primary Location:** Jersey City New Jersey United States **Primary Location Full Time Salary Range:** $142,320.00 - ... job-related duties may be assigned as required. + Prior working knowledge of Equities Electronic trading applications + Understanding of FIX protocol and OMS… more
- TD Bank (New York, NY)
- …we acquired Cowen Inc., offering our clients access to a premier US equities business and highly diverse equity research franchise, while growing our strong, ... **Work Location** : Houston, Texas, United States of America **Hours:** 40...Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity… more
- Citigroup (New York, NY)
- …within which CIM trades + Familiarity with Equities Markets + Understanding of US regulatory framework with specific reference to trading activity + A good ... Product Manager **Time Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary Range:** $170,000.00 -… more
- Bank of America (Jersey City, NJ)
- …Education Requirement:** Bachelor Degree or equivalent working experience **Shift:** 1st shift ( United States of America) **Hours Per Week:** 40 Bank of ... along with the power to make a difference. Join us ! **Job Description:** This job is responsible for building...+ FINRA Series 57 licensed + Deep knowledge of Equities /Futures/Options/FX asset classes and algorithmic trading of… 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** : Charlotte, North Carolina, United States of America **Hours:** 40...point-person and provides oversight in regards to market risk control for trading desks in the Region… more
- TD Bank (Cherry Hill, NJ)
- …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...Accountable for the monitoring assessment, and effective challenge of Non- Trading Market Risk through the identification, understanding, control… more
- CIBC (New York, NY)
- …**How You'll Succeed** + Ensure there are appropriate market risk frameworks in place for US Equity Derivatives to control for market risk and that processes ... The incumbent will be responsible for ensuring that market risk for CIBC's US Equity Derivatives business is completely captured, quantified and controlled. The… 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...and the financial guardian of the TDS sales and trading activities. + Ensure overall Product Control … more
- TD Bank (New York, NY)
- …legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues ... a wide range of TD Securities business lines including equity derivatives, fixed income, credit derivatives, commodities, foreign exchange,...and the financial guardian of the TDS sales and trading activities. + Ensure overall Product Control … more