- 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
- SMBC (New York, NY)
- …markets products (interest rate swaps, fixed income securities) + Good understanding of electronic trading + Experience related to auditing Capital Markets and ... audit coverage of Front Office and associated support functions including Sales, Trading , risk management and Operations within the Internal Audit Department. The… 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
- AON (Chicago, IL)
- Compliance Director - Chicago, IL This is a hybrid role with the flexibility to work both virtually and from our Chicago office Aon is in the business of better ... subject to the terms and conditions of the applicable incentive plan. #li-ar1 #LI-HYBRID 2556373 Compliance Director - Chicago, IL This is a hybrid role with the… 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
- S&P Global (TX)
- …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)
- …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 (NC)
- …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