Category: Banking & Finance > Equity Sales and Trading Compliance Officer



Equity Sales & Trading Compliance Officer

  • New York City, NY
  • Posted on: Fri, 08 Mar 2024 06:04:35 GMT
, and maintain policies and procedures across equity sales and trading. Analyze regulatory changes as they relate to equity sales...Job Description: General Responsibilities: Support and ...
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Citizens Bank

Equity Derivates Compliance Officer

  • New York City, NY - Weehawken, NJ
  • Posted on: Fri, 16 Feb 2024 08:49:59 GMT
? We are looking for someone for the following: The compliance officer will be responsible for primary coverage of the Global Equities Derivatives Trading... Derivative Sales Trading, Equity Derivative ...
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UBS

Director- Equity Capital Markets Compliance Advisor

  • New York City, NY
  • Posted on: Sun, 28 Jan 2024 04:44:32 GMT
with colleagues with primary responsibility for Sales and Trading, Compliance Control Room, Investment Banking, and Equity Research...Business Overview: We are conducting a search for an experienced Compliance Officer ...
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BNP Paribas

Vice President, Capital Markets Compliance Officer

  • New York City, NY
  • Posted on: Fri, 01 Mar 2024 08:51:32 GMT
Officer is responsible for acting in an advisory capacity to the Wedbush Capital Markets activities including equity market... making sales, trading, research, syndicate and investment banking activities. This role will ...
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Wedbush Securities

Manager, CIB & Research Compliance Officer

  • New York City, NY
  • Posted on: Fri, 23 Feb 2024 00:16:07 GMT
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products..., Research and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the ...
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Scotiabank

Manager, CIB & Research Compliance Officer

  • New York City, NY
  • Posted on: Thu, 22 Feb 2024 23:55:45 GMT
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products..., Research and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the ...
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Scotiabank

Equities Compliance Officer

  • Stamford, NY - Weehawken, NJ
  • Posted on: Thu, 21 Mar 2024 07:56:31 GMT
? We are looking for someone for the following: act as a compliance subject-matter expert for the Equities, Equity Derivatives, and/or Futures business.... Your expertise ...
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UBS

Senior Manager, Markets Compliance Officer

  • New York City, NY
  • Posted on: Fri, 23 Feb 2024 07:58:42 GMT
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products..., and knowledge. Provide day-to-day compliance support for equities and fixed income securities trading and ...
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Scotiabank

Senior Manager, Markets Compliance Officer

  • New York City, NY
  • Posted on: Thu, 22 Feb 2024 23:05:18 GMT
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products..., and knowledge. Provide day-to-day compliance support for equities and fixed income securities trading and ...
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Scotiabank

Equities Compliance Officer

  • Stamford, NY - Boston, NY
  • Posted on: Sat, 20 Jan 2024 01:58:21 GMT
control or audit with experience in Equity Research Sales, Equity Sales Trading, Equity Trading and/or Electronic Trading the... various global and regional Equities Trading Governance Committees. work with ...
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UBS

Rates and Structured Finance Compliance Officer

  • New York City, NY
  • Posted on: Sat, 13 Jan 2024 06:47:56 GMT
and regulations pertaining to Rates and Structured Finance Products sales and trading activities draft and publish policies... Enterprise, and Structured Finance businesses, as well as functional leaders in compliance, ...
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UBS

Head of Retail Compliance

  • New York City, NY
  • Posted on: Sun, 17 Mar 2024 02:32:49 GMT
a dynamic Head of Retail Compliance who will report directly to our Chief Compliance Officer. This is a great opportunity... assessing, overseeing, and improving the risk management and compliance practices ...
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BitGo

Legal & Compliance - Infrastructure - Regulatory Attorney, VP

  • New York City, NY
  • Posted on: Wed, 28 Feb 2024 08:49:26 GMT
vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity... is available at . Follow @blackstone on , , and . Business ...
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Blackstone

Commercial Broker Dealer Compliance Advisor - Senior Manager

  • McLean, VA
  • Posted on: Thu, 22 Feb 2024 03:30:12 GMT
Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer.... This role will serve as the Deputy Commercial Broker Dealer Compliance ...
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Capital One

CHIEF INVESTMENT OFFICER

  • Baton Rouge, LA
  • Posted on: Fri, 22 Mar 2024 07:49:29 GMT
START college savings program. The Chief Investment Officer is responsible for administering the investment programs... of the State of Louisiana Department of Treasury Investment Division by initiating prudent ...
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State of Louisiana

Chief Financial Officer

  • Stamford, CT
  • Posted on: Sat, 02 Mar 2024 23:17:29 GMT
is currently live for US equity and global futures trading. BestEx Research is disrupting a $100 billion industry by challenging...-based platform, Algo Management System (AMS), is the first ...
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BestEx Research

Business Risk Officer

  • New York City, NY
  • Posted on: Fri, 02 Feb 2024 05:05:12 GMT
Markets sales & trading teams ensure adherence to policies and standards Responsible for enhancing the control... activities. Manage, review, and approve new investment sales, Equity and FI new ...
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Citigroup

Americas Senior Equities Risk & Control Officer (Director/SVP)

  • New York City, NY
  • Posted on: Fri, 15 Mar 2024 00:43:31 GMT
and Sales/Sales Trading. Reporting to the Head of Equities Risk & Controls, the role will focus on leading and strengthening the... Citigroup, its clients and assets, by driving compliance with ...
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Citigroup

Senior Manager, Assets & Risk Management

  • Illinois
  • Posted on: Wed, 20 Mar 2024 03:50:28 GMT
on the interaction with Lenders/Investors. Monitor and ensure compliance with tax equity and lender agreements, and prepare... trading or commodity environment and financing of tax equity transactions. Solid credit ...
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Acciona

Securities and Governance Paralegal

  • Ohio
  • Posted on: Wed, 20 Mar 2024 03:33:54 GMT
. Provides overall legal support for insider trading policy compliance and Rule 10b5-1 plans, including maintaining blackout list... and resolving legal issues associated with securities laws and stock exchange ...
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Owens Corning

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