and Trading Compliance Officer ("Sales and Trading Compliance Officer") within Guggenheim Securities. The Sales and Trading... Compliance Officer advises and assists the Firm's Sales and Trading Divisions in establishing, implementing, and testing...
Equity Sales and Trading Compliance - Vice President Company Profile Morgan Stanley is a leading global financial... that transcend business lines, legal entities and jurisdictions of operation. The Sales and Trading Compliance Group...
, Compliance, and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large... and compliance advice to business units, identify and provide training and conduct monitoring of the broker dealers public side sales...
sales, trading, credit lending, and capital markets in the digital asset space with passionate leaders across the globe... with and to continue growing and learning collaboratively. Impact We are seeking an experienced Global Chief Compliance Officer to lead...
U.S. Compliance Officer, Full Time - New York What will you do? Providing advisory and monitoring activities in support... of Investment Banking, Equity Sales and Trading, Research distribution, and Equity Research coverage/production; Building...
breaks · Process funding and repos as required for Trading and Sales · Manage and monitor post trade life cycle events.../2025 Job description Business type Types of Jobs - Operations Job title Treasury and Repo Trading Support Middle...
both internally (Front Office, Middle Office, Back Office, Compliance, IT, Product Control, Risk Management, Project Management... Head of Repo and Treasury Trading Support Middle Office. Key Responsibilities The Middle Office team is responsible...
breaks · Process funding and repos as required for Trading and Sales · Manage and monitor post trade life cycle events.../2025 Job description Business type Types of Jobs - Operations Job title Treasury and Repo Trading Support Middle...
will report to and work closely with the Chief Compliance Officer of BXPE and collaborate with the PWS Legal & Compliance group... is available at . Follow @blackstone on , , and . Blackstone seeks a Senior Vice President to join its Legal & Compliance team to provide...
and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity... Compliance (“DA Compliance”) We are seeking a highly motivated Compliance Officer to support regional Compliance coverage...
and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity..., and are able to adapt to a changing regulatory landscape. Swap Dealer Compliance seeks a Compliance Officer to advise internal...
to add a motivated compliance professional to assist the Compliance team led by the Chief Compliance Officer. The successful candidate... and successful share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound...
, Hong Kong, Singapore and Tokyo providing control oversight to Sales, Trading, Electronic/Algorithmic and Research... behaviors and other Trading and Sales applicable regulations related to this asset class, to support key aspects of the bank...
income sales & trading, derivatives, FX, custody and research. Visit . Mizuho Americas offers a competitive total rewards... financial firm and will also work directly with the Deputy Chief Information Officer and the Chief Information Officer. OCIO...
trading, sales, technology, novations, confirmations and settlements to assist with the accurate and timely trade processing... of interviews** This role is for Fixed Income Division Credit Trading Operations. Job Description: The team provides...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... and initiatives and all audit activities are conducted / executed / delivered in compliance with governing regulations, internal...
3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading... plays a key role (in collaboration with legal, compliance, IT, etc) in the analysis, requirements specifications...
3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading... plays a key role (in collaboration with legal, compliance, IT, etc) in the analysis, requirements specifications...
3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading... plays a key role (in collaboration with legal, compliance, IT, etc) in the analysis, requirements specifications...
strategy and fostering strong financial partnerships. Reporting directly to the Chief Capital Officer, you will have high... a transactional, opportunistic trading approach. Manage risk across the funding ecosystem and help inform best practices to create...