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analyst transactional risk

equities trader

JPMorganChase

<div><b>JOB DESCRIPTION</b><p><br>
As an Equities Coverage Sales Trader, you will join the Electronic Client Solutions team, which is the client-facing organization for all automated trading capabilities in Cash Equities. This team builds, manages and delivers the leading industry platform for algorithmic execution, automated liquidation solutions, data, analytics and low latency trading capabilities to institutional, hedge fund and systematic trading firms. The role combines client trader coverage, Americas equity market structure expertise and hands-on execution oversight &ndash; driving adoption, execution quality and franchise growth.
</p><p>Job Responsibilities</p><ul><li>
Work closely with various business partners across Prime Brokerage, Sales and Equities Trading to manage target lists for electronic execution and track progress vs revenue and growth goals</li><li>
Maintain regular active dialogue with key trading and decision-making personnel at client firms</li><li>
Act as primary point of contact for execution strategy discussions: urgency, benchmark selection/slippage, liquidity capture goals, routing preferences etc.
</li><li>Deliver timely, credible market color and practical guidance tied to the Americas equity liquidity environment (volatility regimes, auction dynamics, fragmentation etc)
</li><li>Partner with sales and product teams to maximize electronic volume from clients through efficient client coverage, clear differentiation, and disciplined follow-through (connectivity, trading workflow etc).
</li><li>Be an integral member of the electronic coverage team, working together to provide a positive client experience
</li></ul><p></p><p>Required qualifications, capabilities, and skills</p><ul><li>
Demonstrate strong ability to communicate effectively with client traders in fast-moving markets; strong ownership mindset and responsiveness
</li><li>Ability to collaborate across stakeholders (Sales, Trading, Product, Technology, Legal, Compliance) and drive deliverables to completion
</li><li>Strong understanding/experience in the electronic equities execution space (algorithms, routing concepts, DMA/low-latency workflows, liquidity landscape etc)
</li><li>4 year college degree
</li></ul><p></p><p>Preferred qualifications, capabilities, and skills</p><ul><li>
Prior experience in equities sales trading/execution coverage, with the ability to discuss market microstructure and execution trade-offs with sophisticated client traders
</li><li>Prior technical experience with data and analytics reporting and platforms
</li><li>Working knowledge of synthetic prime brokerage and swap trading solutions</li><li>
Series 7, 63, 55
</li></ul><p></p><b>ABOUT US</b><br>
<div>
<div>JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world&rsquo;s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
</div><p></p><div><p>We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
</p><div><p>We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants&rsquo; and employees&rsquo; religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.</p>
<p>JPMorgan Chase &amp; Co. is an Equal Opportunity Employer, including Disability/Veterans</p><br>
</div></div></div><br>
<br>
<b>ABOUT THE TEAM</b><br>
<br>
J.P. Morgan&rsquo;s Commercial &amp; Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial &amp; Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.</div>

Global Equities - Electronic Client Solutions – Coverage – Vice President

Société Générale

<div><div><h2 class="jobSectionHeader"><b>Responsibilities
</b></h2><div><p>We are seeking a highly motivated <b>Sales Trader</b> with a strong understanding of financial markets and proven execution skills. The ideal candidate can manage client relationships, execute trades efficiently, and work collaboratively with both sales and trading teams to drive revenue and deliver best‑in‑class service.</p><p><b>
Key Responsibilities</b></p><ul><li>
Execute client orders across relevant asset classes with accuracy and market awareness</li><li>
Provide real‑time market color, flows, and trading ideas to institutional clients</li><li>
Maintain and deepen relationships with hedge funds, asset managers, and other institutional accounts</li><li>
Work closely with trading desks to match client interests with liquidity and market opportunities</li><li>
Monitor market developments, economic data, and sector trends that impact client portfolios</li><li>
Assist in onboarding new clients and ensuring compliance with regulatory requirements</li><li>
Support the desk with daily reporting, trade capture, and operational follow‑through</li><li>
Contribute to revenue generation by identifying cross‑selling opportunities across the platform</li></ul>
</div></div><p></p><div><h2 class="jobSectionHeader"><b>Profile required
</b></h2><div><p><b>Qualifications</b></p><ul><li>
Minimum <b>3 years of experience</b> in sales &amp; trading, brokerage, or a similar front‑office role</li><li>
Strong understanding of market structure, order types, liquidity dynamics, and execution strategies</li><li>
Excellent communication skills, with the ability to deliver clear market insights under pressure</li><li>
Proficiency with Bloomberg, EMS/OMS systems, and common trading tools</li><li>
Demonstrated ability to multitask in a fast‑paced, high‑pressure environment</li><li>
Existing institutional client relationships a strong plus</li></ul>
</div></div><div><h2 class="jobSectionHeader"><b>Business insight
</b></h2><div><p>Bernstein is widely recognized as a premier global equity research and brokerage firm, with a trading platform that spans the US, Europe, and Asia. Our research and trading capabilities are sought out by leading investment managers around the world, and we have a long history of our research receiving #1 rankings for overall quality and industry knowledge.</p><p>
Research is our legacy and foundation. Our brand is defined by our Blackbooks, renowned for their in-depth quantitative forecasts and unmatched industry expertise. Our Research Analysts are thought leaders who typically have many years of direct experience in the industries they cover. Our reputation is for the very highest caliber of disciplined investment and industry analysis.</p><p>
In 2019 Bernstein acquired Autonomous Research, a highly regarded global financial services independent research firm. This acquisition further strengthened us as the preeminent provider of the highest-quality research to our clients worldwide.</p><p>
On April 1, 2024, AllianceBernstein and Societe Generale announced the official launch of Bernstein, a new joint venture expanding our global cash equities and equity research business. Clients now have unparalleled equity liquidity access and a full range of integrated services, leveraging Bernstein&rsquo;s cash equities and research capabilities and Societe Generale&rsquo;s equity derivatives, prime services and equity capital markets offering.</p>
</div></div><div><div><div>Diversity and Inclusion
</div><div></div><div>Societe Generale is an equal opportunity employer, and we are proud to make diversity a strength for our company. We are committed to recognizing and promoting the talents and achievements of our employees and staff, regardless of race, religion, color, national origin, sex, disability, age, gender, sexual orientation, and any other characteristic or status protected under applicable law.</div></div></div></div>

Bernstein - Institutional Equity Financials Cash Trader

<div><b>JOB DESCRIPTION</b><p><br>
Embark on a rewarding career journey with JPMorgan, where your expertise will help shape the future of Cash Equities trade support operations. As a valued member of our team, you&rsquo;ll have the opportunity to grow professionally, drive meaningful change, and make a significant impact on our trading services. Join us to advance your career in an environment that values innovation, collaboration, and continuous improvement.</p><p><b>
Job Summary</b><br>
As a Cash Equities Trading Assistant, your role entails overseeing the entire lifecycle of Cash Equities transactions, from collaborating with traders on booking flows, risk and trade capture, to managing trade lifecycle events with client services, corporate actions, pre-matching and settlements teams, ensuring smooth front to back operations processing. A core focus of this role is on strengthening and enhancing control frameworks, proactively identifying opportunities to improve risk management and operational processes across all aspects of the trade lifecycle.
</p><p><b>Job Responsibilities</b></p><ul>
<li>Support agency and principal Cash Equities trading activity in the Americas markets (US, Canada &amp; Latam), ensuring seamless integration of technology-driven processes.</li>
<li>Execute intra-day and end-of-day processes, leveraging automation and data analytics to ensure accurate trade capture, reconciliation, and book management.</li>
<li>Analyze operational data to identify trends, root causes of exceptions, and opportunities for process optimization; proactively recommend and implement improvements.</li>
<li>Utilize scripting languages (e.g., Python, SQL) to automate routine tasks, support data analysis, enhance reporting, and improve workflow efficiency.</li>
<li>Perform daily reconciliation of traders&rsquo; P&amp;L and trade bookings, using technology solutions to promptly investigate and resolve discrepancies and mitigate risk.</li>
<li>Act as a key liaison between the front office, back office, and external counterparties to review and resolve trade breaks and settlement issues</li>
<li>Facilitate effective communication with clients and cross-functional teams to identify, escalate, and address real-time risk and operational issues.</li>
<li>Participate in and lead strategic initiatives focused on process improvement, automation, business architecture enhancements, and the adoption of emerging technologies.</li>
<li>Leverage understanding of large language models (LLMs) and AI-driven solutions to streamline operations, enhance client outcomes, and support control-related projects.</li>
<li>Actively contribute to the development, implementation, and ongoing enhancement of robust control measures, incorporating technology and automation into control frameworks.</li></ul><p><b>
Required Qualifications, Capabilities, and Skills</b></p><ul>
<li>Bachelor&rsquo;s degree in Business, Finance, Economics, Computer Science, or a related field.</li>
<li>Strong analytical and problem-solving skills, with the ability to interpret and act on complex data sets.</li>
<li>Exposure to technology-driven process improvement.</li>
<li>Familiarity with large language models (LLMs) and AI-driven solutions for operational efficiency and client service enhancement.</li>
<li>Demonstrated control mindset, with proven experience in designing, implementing, and maintaining operational controls, including technology-enabled solutions.</li>
<li>Hands-on experience with automation tools and scripting languages (e.g., Python, SQL), with the ability to leverage technology to streamline processes, enhance controls, and support data analysis.</li>
<li>Strong analytical and problem-solving skills, with the ability to interpret and act on complex data sets to drive process optimization.</li>
<li>Excellent communication and interpersonal skills, with the ability to collaborate effectively with traders, functional partners, and external stakeholders.</li>
<li>Proven ability to manage multiple priorities and deliver results in a fast-paced, operational and technology-enabled environment.</li>
<li>Advanced proficiency in Microsoft Excel, including the use of complex formulas, pivot tables, and integration with other data tools.</li></ul><p><b>
Preferred Qualifications, Capabilities, and Skills</b></p><ul>
<li>Familiarity with large language models (LLMs) and AI-driven solutions for operational efficiency and client service enhancement</li>
<li>Understanding of the ETF lifecycle, particularly as it pertains to primary market activities
</li><li>Prior experience with Equities or Fixed Income markets</li>
<li>Series 99 (Operations Professional) or Series 7 (General Securities Representative) license.
</li></ul><p></p><b>ABOUT US</b><br>
<div>
<div>JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world&rsquo;s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
</div><p></p><div><p>We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
</p><div><p>We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants&rsquo; and employees&rsquo; religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.</p>
<p>JPMorgan Chase &amp; Co. is an Equal Opportunity Employer, including Disability/Veterans</p><br>
</div></div></div><br>
<br>
<b>ABOUT THE TEAM</b><br>
<br>
J.P. Morgan&rsquo;s Commercial &amp; Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial &amp; Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.</div>

Cash Equities Trade Support Senior Associate

<div><b>JOB DESCRIPTION</b><p><br>
Join a market-leading team shaping the future of electronic trading. In Electronic Client Solutions (ECS), you&rsquo;ll deliver impactful products and execution advice that help institutional clients navigate complex equity markets.</p><p><b>
Job summary</b> You will join the Electronic Client Solutions (ECS) team, the client-facing organization for automated trading capabilities in Cash Equities. ECS builds, manages, and delivers a leading platform for algorithmic execution and liquidity solutions, data and analytics, and low-latency trading for institutional, hedge fund, and systematic trading clients. The team partners closely with clients to provide in-depth transaction cost analysis (TCA) and execution consultations. The ECS product suite is designed to source liquidity effectively across an evolving landscape of liquidity centers, minimize transaction costs, and maintain client anonymity through global algorithmic trading products, differentiated liquidity solutions, global direct market access and smart order routing, and comprehensive pre- and post-trade analytics.</p><p><b>
Job responsibilities</b></p><ul><li>
Define and lead product management initiatives across the Americas algorithmic trading product spectrum.</li><li>
Engage with clients to understand needs and deliver J.P. Morgan&rsquo;s algorithmic product suite as well as bespoke solutions.</li><li>
Analyze client order flow using transaction cost analysis (TCA) and execution quality metrics to provide actionable insights that optimize trading performance.</li><li>
Partner with business analysts, core technology, legal/compliance, operations, and sales and trading teams to optimize product functionality.</li><li>
Produce in-depth analysis of product usage, client trends, trading performance, and revenues to drive product evolution and adoption.</li><li>
Maintain expertise in equities trading, market structure, and the equities regulatory landscape; ensure adherence to relevant regulatory and control requirements.</li><li>
Be an integral ECS team member focused on delivering a positive client experience.</li></ul><p><b>
Required qualifications, capabilities, and skills</b></p><ul><li>
Bachelor&rsquo;s degree in Finance, Economics, Mathematics, Engineering, Computer Science, or a related quantitative field.</li><li>
5+ years of equities electronic trading experience or equivalent, preferably in Algorithmic Trading or Execution Consulting.</li><li>
Exceptional written and verbal communication and client-facing skills, with the ability to convey complex concepts concisely and persuasively.</li><li>
Strong quantitative and analytical skills; ability to analyze large datasets, identify liquidity trends, and make data-driven decisions.</li><li>
Hands-on experience with q/KDB and Python.</li><li>
Prior technical experience with data and analytics reporting and platforms.</li><li>
Professional maturity and poise in client interactions.</li></ul><p><b>
Preferred qualifications, capabilities, and skills</b></p><ul><li>
FINRA Series 57, 7, and 63 registrations a plus.</li></ul>
<b>ABOUT US</b><br>
<div>
<div>JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world&rsquo;s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
</div><p></p><div><p>We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
</p><div><p>We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants&rsquo; and employees&rsquo; religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.</p>
<p>JPMorgan Chase &amp; Co. is an Equal Opportunity Employer, including Disability/Veterans</p><br>
</div></div></div><br>
<br>
<b>ABOUT THE TEAM</b><br>
<br>
J.P. Morgan&rsquo;s Commercial &amp; Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial &amp; Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.</div>

Global Equities - Algorithmic Trading/Execution Consulting – Vice President

Bank of America

<div>
 <strong>
  Job Description:
  <br/>
  <br/>
 </strong>
 At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day.
 <br/>
 <br/>
 Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates&rsquo; physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.
 <br/>
 <br/>
 Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.
 <br/>
 <br/>
 At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!
 <br/>
 <br/>
 <strong>
  Director, Equity Derivatives Trading
  <br/>
  <br/>
 </strong>
 <strong>
  Role Overview:
  <br/>
  <br/>
 </strong>
 The Director will be a senior member of the Exotics Equity Derivatives Trading desk, responsible for pricing, trading, and risk management of complex, non‑vanilla equity and volatility derivatives for institutional clients. This role requires deep technical expertise, independent judgment, and leadership in managing risk, developing trading strategies, and collaborating across sales, structuring, and quantitative teams. The individual will operate with limited supervision, owning the full front‑to‑back trading lifecycle while helping drive product innovation and revenue growth, particularly for Institutional equity derivatives clients.
 <br/>
 <br/>
 <strong>
  Key Responsibilities
 </strong>
 :
 <br/>
 <br/>
 <ul>
  <li>
   Price, trade, and manage risks associated with complex equity and volatility derivatives, including autocallables, issuer callables, basket options, correlation products, dispersion trades, and volatility/variance swaps.
  </li>
  <li>
   Provide bespoke pricing for derivatives with unique payoff structures tailored to client needs, constructing and managing hedge strategies using vanilla options and related instruments.
  </li>
  <li>
   Independently manage market, model, and liquidity risk across a diversified portfolio, exercising discretion consistent with desk risk limits and balance sheet constraints.
  </li>
  <li>
   Trade in the inter‑dealer market to accumulate inventory, optimize hedging costs, and enhance the desk&rsquo;s ability to facilitate client flow.
  </li>
  <li>
   Generate replication strategies across asset classes, including equity index replication, dispersion, correlation, and cross‑asset payoff structures.
  </li>
  <li>
   Calibrate and enhance exotic pricing models to capture spot&ndash;volatility correlation, skew dynamics, and other market features relevant to non‑linear payoffs.
  </li>
  <li>
   Perform ongoing enhancement of pricing and risk analytics to incorporate new product features, market regimes, or regulatory requirements.
  </li>
  <li>
   Apply advanced Python‑based modeling and analytics to support pricing, risk decomposition, and scenario analysis for non‑vanilla products.
  </li>
  <li>
   Work closely with equity derivatives sales teams across multiple time zones to deliver the &ldquo;right price&rdquo; to the &ldquo;right client,&rdquo; balancing client objectives with risk, capital, and balance sheet considerations.
  </li>
  <li>
   Source and develop new trading ideas and product opportunities based on client demand, market dislocations, and relative‑value opportunities.
  </li>
  <li>
   Facilitate client expression of trading views through tailored equity derivatives solutions, aligned with the bank&rsquo;s product capabilities and strategic priorities.
  </li>
  <li>
   Own the complete front‑to‑back workflow, including pricing, quoting, execution, hedging, booking, lifecycle management, and downstream operational processes.
  </li>
  <li>
   Conduct daily P&amp;L analysis, risk reporting, and reconciliation, ensuring transparency, accuracy, and timely escalation of material issues.
  </li>
  <li>
   Partner closely with structuring, quantitative research, technology, operations, and risk management teams to ensure robust controls and efficient execution.
  </li>
  <li>
   Act as a senior point of reference on the desk, providing guidance to junior traders and contributing to the desk&rsquo;s risk culture and best practices.
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Product &amp; Technical Expertise:
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Deep knowledge of equity and volatility derivatives, including:
  </li>
  <ul>
   <li>
    Geometric and vanilla dispersion
   </li>
   <li>
    Relative‑value variance and volatility spreads
   </li>
   <li>
    Correlation products and structured indices
   </li>
   <li>
    Listed and OTC single‑stock, ETF, and index options
   </li>
   <li>
    Structured notes, equity swaps, variance swaps, volatility swaps, and futures
   </li>
  </ul>
  <li>
   Strong understanding of asset optimization, hedging theory, and risk transfer for institutional equity clients.
   <br/>
  </li>
 </ul>
 <strong>
  Qualifications &amp; Experience:
  <br/>
  <br/>
 </strong>
 <ul>
  <li>
   Master&rsquo;s degree or higher in Finance, Mathematics, Engineering, Physics, a related quantitative discipline, or equivalent work experience.
  </li>
  <li>
   Significant experience (typically 8&ndash;12+ years) in equity derivatives trading, with a strong track record in exotic or structured products.
  </li>
  <li>
   Demonstrated ability to manage complex risks and deliver consistent P&amp;L through varying market environments.
  </li>
  <li>
   Advanced quantitative and programming skills, particularly in Python; experience with model calibration and analytics for non‑vanilla products is essential.
  </li>
  <li>
   Strong commercial instincts, excellent communication skills, and the ability to influence across trading, sales, and infrastructure teams.
   <br/>
   <br/>
  </li>
 </ul>
 <strong>
  Shift:
  <br/>
  <br/>
 </strong>
 1st shift (United States of America)
 <br/>
 <br/>
 <strong>
  Hours Per Week:
  <br/>
  <br/>
 </strong>
 40
</div>


Director, Equity Derivatives Trading

<div><b>JOB DESCRIPTION</b><p><br>
About Wealth Management: With more than 160 years of experience, J.P. Morgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth individuals and families around the world. We deliver highly customized and comprehensive solutions to help clients with the many complexities they face on their balance sheets by leveraging the Private Bank&rsquo;s products and solutions. The Private Bank is involved with every facet of wealth management, including investments, liquidity and credit management, and tax and estate planning. Our business model focuses on deep client relationships through an integrated team structure with a platform of depth and breadth.</p><p>
The Global Wealth Management Equity Trading Desk is responsible for supporting the execution of equity &amp; listed options orders for three lines of business, in in more than forty countries. Additionally we manage the syndicate allocation process for Global Wealth Management. We work with internal trading desks as well as external brokerage desks in order to achieve best execution for our clients. The team works closely with Front Office personnel, as well as Supervisory, Compliance, Technology, Middle Office &amp; Back Office settlement teams in the effective management of our business.</p><p><b>
Responsibilities of the VP will include:</b></p><ul><li>
Providing our Investors with exceptional guidance &amp; service in navigating and trading the global equity markets
</li><li>Establishing a high degree of competence around executing equity &amp; listed options trades: communication, pricing, accurate booking and flawless management of downstream processes
</li><li>Resolving and managing the risks associated with failing trades
</li><li>Building relationships within front office and support areas, and be able to leverage them for exceptional client service
</li><li>Ensuring issues are escalated in a timely manner to allow proactive corrective action and avoid the business incurring unnecessary costs or reputational risk
</li><li>Performing core start-of-day and end-of-day processes to successfully manage our day to day operations
</li></ul><p></p><p><b>Qualifications</b>:</p><ul><li>
Series 7, 63 and 57
</li><li>Minimum of 7 years of prior experience in equity trading &ndash; options trading is a plus</li><li>
Strong work ethic, professionalism and ability to manage multiple priorities under pressure
</li><li>Strong communication skills (both verbal and written)
</li><li>Excellent Analytical skills experience in MS Office: Excel, PowerPoint and Word
</li><li>Advanced level in coding (Python) and visual analytics platforms (Tableau) is a strong plus</li><li>
Experience in best execution analytics in trading (Transaction Cost Analysis)</li><li>
Ability to learn J.P. Morgan products, systems and trading tools
</li><li>Self-motivation and demonstration of initiative
</li></ul><b>ABOUT US</b><br>
<div>
<div>JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world&rsquo;s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
</div><p></p><div><p>We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
</p><div><p>We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants&rsquo; and employees&rsquo; religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.</p>
<p>JPMorgan Chase &amp; Co. is an Equal Opportunity Employer, including Disability/Veterans</p><br>
</div></div></div><br>
<br>
<b>ABOUT THE TEAM</b><br>
<br>
J.P. Morgan Asset &amp; Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.</div>

Cash Equity Trader, Vice President

Cantor Fitzgerald

<div>
 <p>
  <strong>
   Assistant Vice President &ndash; Equities Compliance
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  Cantor Fitzgerald is seeking an
  <strong>
   Assistant Vice President, Equities Compliance
  </strong>
  to provide regulatory guidance and compliance oversight to its Equities businesses. This Line 2 role is ideal for a compliance professional with up to five years of experience who is ready to take on increased responsibility, partner closely with the business, and grow within a globally recognized financial services firm.
 </p>
 <p>
  <br/>
 </p>
 <p>
  The role offers meaningful exposure to equities trading activities, regulatory engagement, and firm-wide initiatives, within a collaborative and fast-paced environment.
 </p>
 <p>
  <br/>
 </p>
 <p>
  As an AVP in Equities Compliance, you will:
 </p>
 <ul>
  <li>
   Serve as a
   <strong>
    compliance advisor
   </strong>
   to Equities business units, providing guidance on U.S. securities regulations, firm policies, and industry best practices.
  </li>
  <li>
   Support the
   <strong>
    implementation and maintenance of compliance frameworks
   </strong>
   aligned with SEC, FINRA, and other regulatory requirements.
  </li>
  <li>
   Partner with business, legal, risk, and operations teams to provide compliance input on
   <strong>
    new products, initiatives, and process changes
   </strong>
   .
  </li>
  <li>
   Monitor and assess
   <strong>
    regulatory developments
   </strong>
   impacting equities businesses and assist with updating policies and procedures as needed.
  </li>
  <li>
   Support
   <strong>
    regulatory examinations, inquiries, and audits
   </strong>
   , including preparation of responses and coordination with internal stakeholders.
  </li>
  <li>
   Assist in the enhancement and execution of
   <strong>
    surveillance, monitoring, and testing programs
   </strong>
   to identify and mitigate compliance risks.
  </li>
  <li>
   Participate in
   <strong>
    risk assessments
   </strong>
   , issue tracking, and remediation efforts to address control gaps and regulatory findings.
  </li>
  <li>
   Contribute to the development and delivery of
   <strong>
    compliance training
   </strong>
   to promote awareness and a strong compliance culture.
  </li>
  <li>
   Collaborate across Compliance and the broader firm to ensure alignment with Cantor Fitzgerald&rsquo;s business objectives.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  Qualifications
 </p>
 <ul>
  <li>
   Approximately
   <strong>
    3&ndash;5 years of experience
   </strong>
   in compliance, legal, or regulatory roles within the
   <strong>
    equities or capital markets
   </strong>
   space.
  </li>
  <li>
   Solid understanding of
   <strong>
    U.S. securities laws
   </strong>
   , FINRA and SEC rules, particularly those related to equities trading and market access.
  </li>
  <li>
   Experience supporting
   <strong>
    regulatory interactions
   </strong>
   , including exams or inquiries, preferred.
  </li>
  <li>
   Strong analytical and problem-solving skills with the ability to translate regulatory requirements into practical guidance.
  </li>
  <li>
   Excellent written and verbal communication skills, with the confidence to engage business stakeholders.
  </li>
  <li>
   Bachelor&rsquo;s degree required;
   <strong>
    JD, MBA, or equivalent
   </strong>
   is a plus.
  </li>
  <li>
   <strong>
    Series 7
   </strong>
   required;
   <strong>
    Series 24
   </strong>
   or ability to obtain within a reasonable timeframe preferred.
  </li>
  <li>
   Detail-oriented, proactive, and able to manage multiple priorities in a dynamic environment.
  </li>
  <li>
   Collaborative mindset aligned with Cantor Fitzgerald&rsquo;s entrepreneurial and performance-driven culture.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  Why Cantor Fitzgerald?
 </p>
 <p>
  At Cantor Fitzgerald, you&rsquo;ll gain hands-on exposure to front-line compliance advisory work within a globally active equities platform. This AVP role offers the opportunity to deepen regulatory expertise, build strong business partnerships, and advance your compliance career in a firm that values initiative, accountability, and professional growth.
 </p>
 <p>
 </p>
</div>


Assistant Vice President – Equities Compliance

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